Regulatory Notice 25-04: Rule 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 (Eighth Circuit)
Amicus Issue:
Whether the “substantial assistance” and causation elements of aiding-and-abetting liability may be satisfied by the mere provision of routine professional and financial services.
Counsel of Record:
Sullivan & Cromwell LLP
Rodgin Cohen
William B. Monahan
Matthew A. Schwartz
Rachel Rolnick
Max J. Kober
Other Amici:
U.S. Chamber of Commerce
Bank Policy Institute
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…