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:
U.S. Court of Appeals
(Eleventh Circuit)
Amicus Issue:
Whether claimants are “customers” of RJFS’s formerly associated person for purposes of FINRA Code of Arbitration Procedure Rule 12200. Whether RJFS’s formerly associated person was an “associated person” for purposes of Rule 12200.
Counsel of Record:
Greenberg Traurig, P.A.
Joseph C. Coates, III
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…