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
(Ninth Circuit)
Amicus Issue:
Whether claimants, who invested in a private equity fund operated as a Ponzi scheme by a firm-registered broker, are “customers” of the broker-dealer firm, as that term is used in FINRA Code of Arbitration Procedure Rule 12200, such that the claimants can compel the firm to arbitrate a dispute between the parties in FINRA’s arbitration forum.
Counsel of Record:
Sullivan & Cromwell LLP
Robert J. Giuffra, Jr.
Morgan L. Ratner
Jason P. Barnes
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…