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:
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:
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…