Recommendations for FINRA Arbitration
SIFMA provided recommendations to FINRA for improving its arbitration forum.
Summary
SIFMA provides comments to the Board of Governors of the Federal Reserve System with preliminary data on the categories of covered fund activities and investments for which SIFMA members expect to submit requests for a one-year extension of the conformance period under the final rules implementing section 13 of the Bank Holding Company Act, commonly referred to as the Volcker Rule.
More Submissions
Type:
Proposed Rule Changes to Amend FINRA Rule 6730 (Transaction Reporting) and Rule G-14 RTRS Procedures Under MSRB Rule G-14
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) regarding FINRA and the MSRB’s amendments…
Type:
FASB’s Invitation to Comment – Agenda Consultation
SIFMA provided comments to the Financial Accounting Standards Board (FASB) on its Invitation to Comment - Agenda Consultation (the “ITC”).