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 has submitted an Amicus “Friend of the Court” Brief
Court:
U.S. District Court
(S.D.N.Y.)
Amicus Issue:
Whether junior underwriters may assert a due diligence defense when they relied upon senior underwriters to perform due diligence
Counsel of Record:
Sidley Austin LLP
787 Seventh Avenue
New York, NY 10019
Joseph McLaughlin
Jonathan F. Cohn
Daniel A. McLaughlin
Patricia C. Fratto
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…