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…
Court:
U.S. Supreme Court
(pet. for writ of cert.)
Amicus Issue:
Whether the failure to disclose a trend or uncertainty pursuant to Item 303 of SEC Regulation S-K can serve as the predicate for a private cause of action under Section 10(b) of the Securities Exchange Act of 1934.
Counsel of Record:
Goodwin Procter LLP
William M. Jay
Andrew Kim
Jesse Lempel
Daniel P. Roeser
Other Amici:
U.S. Chamber of Commerce
SIFMA provided comments to FINRA in response to Regulatory Notice (RN) 25-04. We welcome this effort to modernize and update…
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Court: U.S. Court of Appeals (Seventh Circuit) Amicus Issue: Whether the SEC properly denied CBOE’s proposed rule to reclassify order…