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:
U.S. Court of Appeals
(Ninth Circuit)
Amicus Issue:
Whether and under what circumstances auditors’ opinions are actionable under Section 11 of the Securities Act of 1933 in light of the Supreme Court’s decision in Omnicare v. Laborers Dist., 575 U.S. 175 (2015).
Counsel of Record:
Winston & Strawn LLC
Linda T. Coberly
Lauren Gailey
Other Amici:
U.S. Chamber of Commerce
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…