Recommendations for FINRA Arbitration
SIFMA provided recommendations to FINRA for improving its arbitration forum.
SIFMA provided comments to the Municipal Securities Rulemaking Board (MSRB) in response to MSRB’s request for input on its strategic priorities (Notice 2014-16) for the coming year.
Notice 2014-16 poses several questions in the context of the MSRB’s four key strategic goals: municipal advisor (MA) regulation, municipal entity protection, market efficiency and price transparency. SIFMA said its comments covers all four area and offers recommendations on MSRB governance issues that relate closely to the execution of initiatives under the strategic goals.
SIFMA is also proposing the addition of a fifth strategic goal: reduce the cost of regulatory compliance.
SIFMA provided recommendations to FINRA for improving its arbitration forum.
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) regarding FINRA and the MSRB’s amendments…
SIFMA provided comments to the Financial Accounting Standards Board (FASB) on its Invitation to Comment - Agenda Consultation (the “ITC”).