LKQ Corporation v. Rutledge
Court: Delaware Supreme Court Amicus Issue: Whether the Delaware Supreme Court’s holding in Cantor Fitzgerald precludes reviewing forfeiture-for-competition provisions for…
SIFMA filed a complaint in the U.S. District Court Western District for the State of Missouri on two new Missouri Securities Division rules (“Rules”) that force financial firms and professionals to obtain client signatures on state-scripted documents before providing advice that “incorporates a social objective or other nonfinancial objective.” The state-mandated scripts require financial firms and clients to acknowledge that incorporating these objectives “will result” in investments and advice “that are not solely focused on maximizing a financial return” for the client. The Rules also require firms to provide the written scripts to clients annually, and to secure new client signatures on the scripts “no less than every three (3) years.”
See also:
Court: Delaware Supreme Court Amicus Issue: Whether the Delaware Supreme Court’s holding in Cantor Fitzgerald precludes reviewing forfeiture-for-competition provisions for…
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) on the Municipal Securities Rulemaking Board’s (MSRB) Notice of…
SIFMA AMG provided comments to the Federal Energy Regulatory Commission replying to certain comments filed in the Notice of Inquiry…
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