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…
SIFMA has submitted an Amicus “Friend of the Court” Brief
Court:
U.S. Court of Appeals
(Second Circuit)
Amicus Issue:
Whether an ERISA plan fiduciary may be sued for allowing an ERISA plan to offer employer stock when the plan requires it to do so
Counsel of Record:
Simpson Thacher & Bartlett LLP
425 Lexington Avenue
New York, NY 10017
Joseph M. McLaughlin
George S. Wang
Agnès Dunogué
Hiral D. Mehta
SIFMA provided comments to FINRA in response to Regulatory Notice (RN) 25-04. We welcome this effort to modernize and update…
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Court: U.S. Court of Appeals (Seventh Circuit) Amicus Issue: Whether the SEC properly denied CBOE’s proposed rule to reclassify order…