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. Supreme Court
Amicus Issue:
Whether a misstatement claim that does not meet the elements set forth in Janus Capital Group, Inc. v. First Derivative Traders can be repackaged and pursued as a fraudulent-scheme claim.
Counsel of Record:
Sidley Austin LLP
Kwaku A. Akowuah
Daniel A. McLaughlin
Other Amici:
U.S. Chamber of Commerce
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…