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
Court:
U.S. Court of Appeals (Ninth Circuit)
Amicus Issue:
Whether the PSLRA safe harbor protects forward-looking statements accompanied by supporting non-forward-looking statements alleged to be false, regardless of whether associated cautionary language contains an admission that the non¬-forward-looking statement is false.
Counsel of Record:
Cleary Gottlieb Steen & Hamilton LLP
Lewis J. Liman
Jared Gerber
Martha E. Vega-Gonzalez
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…