Regulatory Notice 25-04: FINRA Rulebook Modernization
SIFMA provided comments to FINRA in response to Regulatory Notice (RN) 25-04. We welcome this effort to modernize and update…
Summary
SIFMA submitted an Amicus “Friend of the Court” Brief
Court:
U.S. Court of Appeals
(Second Circuit)
Amicus Issue:
Whether there is a private right of action under SEC Rule 10b-16 and if so, what is the legal standard for establishing a violation of Rule 10b-16.
Counsel of Record:
Morgan Lewis & Bockius LLP
Michele A. Coffey
Other Amici:
None.
More Submissions
Type:
Data Security Reforms for Federal Financial Regulators (Joint Trades)
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Type:
Cboe Exchange v. SEC
Court: U.S. Court of Appeals (Seventh Circuit) Amicus Issue: Whether the SEC properly denied CBOE’s proposed rule to reclassify order…