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
(First Circuit)
Amicus Issue:
Whether financial advisors have fiduciary duty obligations that require investment managers to take control of customer accounts in complete disregard of both the express choices of a wealthy and sophisticated client, and express contractual constraints limiting the advisor’s discretion.
Counsel of Record:
Skadden, Arps, Slate, Meagher & Flom LLP
Eben P. Colby
Marley Ann Brumme
Nicole D. Pacheco
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…