Regulatory Notice 25-04: Rule Modernization
SIFMA provided comments to FINRA in response to Regulatory Notice (RN) 25-04. We welcome this effort to modernize and update…
Summary
Court:
Massachusetts Superior Court
Amicus Issue:
Whether application of the Massachusetts fiduciary rule is limited, as is SEC Regulation Best Interest, to account type and securities recommendations, or whether it extends far more broadly to encompass unsolicited, self-directed securities transactions.
Counsel of Record:
Goodwin Proctor LLP
Jaime A. Santos
Edwina Clarke
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…