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 (D.C. Circuit)
Amicus Issue:
Whether companies that are affiliates of, but separate from, national securities exchanges are subject to SEC jurisdiction as “facilities of an exchange” under Section 3(a)(2) of the Exchange Act when they provide wireless connectivity services.
Counsel of Record:
Cadwalader, Wickersham & Taft LLP
Jason M. Halper
Steven Lofchie
Charles A. Munn
Hyungjoo Han
Other Amici:
FIA Principal Traders Group
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…