Regulatory Notice 25-04: Rule Modernization
SIFMA provided comments to FINRA in response to Regulatory Notice (RN) 25-04. We welcome this effort to modernize and update…
Summary
Court:
U.S. Supreme Court
(pet. for writ of cert.)
Amicus Issue:
Whether a company that describes in the “risk disclosure” section of its securities filings that a risk may occur in the future must also disclose whether that risk has ever occurred in the past.
Counsel of Record:
Sullivan & Cromwell LLP
Jeffrey B. Wall
Judson O. Littleton
M. Jordan Mino
Other Amici:
U.S. Chamber of Commerce
Business Roundtable
More Submissions
Type:
Data Security Reforms for Federal Financial Regulators (Joint Trades)
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Type:
Cboe Exchange v. SEC
Court: U.S. Court of Appeals (Seventh Circuit) Amicus Issue: Whether the SEC properly denied CBOE’s proposed rule to reclassify order…