Supplemental Comments on Digital Asset Markets (Joint Trades)
SIFMA and joint associations provided additional comments to the President’s Working Group (PWG) on Digital Asset Markets Chair in support…
Summary
Court:
Alabama Supreme Court
Amicus Issue:
Whether there is a private cause of action for a violation of FINRA rules. Whether a statement in an account agreement wherein a customer acknowledges that every transaction in their account is subject to FINRA rules, and an alleged violation of those rules by the broker-dealer, create a breach of contract claim for the customer.
Counsel of Record:
Bass, Berry & Sims PLC
Chris G. Lazarini
Anna Grizzle
Other Amici:
None
More Submissions
Type:
TMPG Consultative White Paper and Proposed Best Practice Recommendations for US Treasury Repo Risk Management (SIFMA AMG)
SIFMA AMG provided comments to the Treasury Markets Practices Group (TMPG) on the Consultative White Paper and Proposed Best Practice…
Type:
Financial Key Performance Indicators for Business Entities
SIFMA provided comments to the Financial Accounting Standards Board (FASB) on the Invitation to Comment - Financial Key Performance Indicators…