SEC v. Tambone
Published on:
April 24, 2009
SIFMA has submitted an Amicus “Friend of the Court” Brief.
Court:
U.S. Court of Appeals
(First Circuit)
See also Supplemental SIFMA Brief
Amicus Issue:
Whether underwriters and their employees may be held primarily liable under Section 10(b) of the Exchange Act and Rule 10b-5 for false statements in a mutual fund prospectus, regardless of whether they ever made statements in the prospectus within the meaning of Rule10b-5(b).
Counsel of Record:
Sidley Austin LLP
1501 K Street, NW
Washington, DC 20005
Carter G. Phillips
Jonathan F. Cohn
Daniel A. McLaughlin
Eric D. McArthur