SIFMA provided comments to FINRA on Notice 17-34. Notice 17-34 requests comment on whether FINRA should continue to permit compensated non-attorney…
FINRA Proposed Rule Change to Definitions of Public, Non-public Arbitrator
SIFMA provides comments to FINRA on Notice 17-33. Notice 17-33 requests comment on FINRA’s proposal to expand a customer’s options if a…
SIFMA provided comments on the transparency of FINRA’s dispute resolution program and how FINRA might enhance the forum’s operational transparency.