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Comment Letters, Testimony & Statements for the Record

Financial Services Institute / Comment Letters, Testimony & Statements for the Record
DOL
SEC

Shortened Settlement Cycle 12/2/16

SR FINRA 2016-039 Financial Exploitation of Specified Adults 11/28/16

SR FINRA 2016-033 Broadening Chairperson Eligibility in Arbitration 9/27/16

SR-FINRA 2016-030 Proposed Rule Change to Amend FINRA Rule 12504 of the Code of Arbitration Procedure for Customer Disputes and FINRA Rule 13504 of the Code of Arbitration Procedure for Industry Disputes 9/7/16

SR-FINRA-2016-029 Proposed Rule relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation 9/7/16

Adviser Business Continuity and Transition Plans 9/6/16

SR-FINRA-2016-022: Proposed Rule Change Regrading Arbitration of Customer Disputes 8/4/16

Incentive Based Compensation Arrangements 7/22/16

Consolidated Audit Trail 7/18/16

SR-MSRB-2016-07 Proposed Rule Change Regarding Close-Out Procedures for Municipal Securities 6/22/16

SR-FINRA-2016-015 Proposed Rule Change to Provide that Absent Specification to the Contrary in an Award, When Arbitrators Order Opposing Parties to Pay Each Other Damages, the Monetary Awards Shall Offset 6/13/2016

SR-FINRA-2016-014 Proposed Rule Change Relating to National Adjudicatory Council Composition, Member Terms and Election Procedures 5/19/2016

SR-FINRA 2015-056 “Pay to Play” Rule 4/27/16

SR-MSRB-2016-04 Proposal to Shorten The Settlement Cycle For Municipal Securities 4/8/16

SR-FINRA-2016-004: FINRA Coordination with the MSRB 3/11/16

Mutual Fund Liquidity 2/4/16

“Pay to Play” Rule 1/20/16

SR-FINRA-2015-057: Educational Communication Related to Recruitment Practices and Account Transfers 1/20/16

SR-FINRA-2015-022: BrokerCheck Hyperlinks Proposal 8/3/15

SR-FINRA-2015-015: Web-Based Delivery of Continuing Education Proposal 7/8/15

SR-MSRB-2015-03: Amendment to Municipal Advisor Rule

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U.S. DEPARTMENT OF TREASURY
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STATES
TESTIMONY & STATEMENTS FOR THE RECORD