Regulatory Capital Rule: eSLR, TLAC, and Long-Term Debt Requirements for US GSIBs (Joint Trades)
SIFMA, The International Swaps and Derivatives Association, Inc. (ISDA), and the Futures Industry Association (FIA) submitted comments to the Board…
Summary
Court:
Massachusetts Supreme Court
Amicus Issue:
Whether a broker-dealer owes a fiduciary duty to the beneficiary of an Individual Retirement Account (IRA).
Counsel of Record:
Katten Muchin Rosenman LLP
David Goldberg
Susan Light
Christian Kemnitz
William C. Pericak
Robert T. Smith
Mary C. Fleming
Other Amici:
None
More Submissions
Type:
CT Plan Filing for Fees Charged to Vendors and Subscribers for Consolidated Equity Market Data, CT Plan Policies, and Data Subscriber Agreements
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) to ensure that the single national market system plan…
Type:
Withholding With Respect to Digital Asset Transactions
SIFMA provided supplemental comments to the U.S. Department of Treasury (DOT) on its September 13, 2024, letter regarding brokers’ information…