SEC v. Tambone Supplemental SIFMA Brief
Published on:
September 4, 2009
SIFMA has submitted an Amicus “Friend of the Court” 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