Regulatory Notice 25-04: FINRA Rulebook Modernization
SIFMA provided comments to FINRA in response to Regulatory Notice (RN) 25-04. We welcome this effort to modernize and update…
Summary
Court:
Massachusetts Supreme Court
Amicus Issue:
Whether a broker-dealer owes a fiduciary duty to the beneficiary of an Individual Retirement Account (IRA).
Counsel of Record:
Katten Muchin Rosenman LLP
David Goldberg
Susan Light
Christian Kemnitz
William C. Pericak
Robert T. Smith
Mary C. Fleming
Other Amici:
None
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…