Recommendations for FINRA Arbitration
SIFMA provided recommendations to FINRA for improving its arbitration forum.
Summary
SIFMA provides comments to multiple federal regulators on proposed rulemaking to implement Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Volcker Rule). This comment letter focuses specifically on:
- municipal securities; and
- tender option bonds, which are a specific type of transaction described herein that involves the repackaging of municipal securities that is common in the marketplace.
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”).