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…
Summary
Court:
U.S. Court of Appeals (D.C. Circuit)
Amicus Issue:
Whether companies that are affiliates of, but separate from, national securities exchanges are subject to SEC jurisdiction as “facilities of an exchange” under Section 3(a)(2) of the Exchange Act when they provide wireless connectivity services.
Counsel of Record:
Cadwalader, Wickersham & Taft LLP
Jason M. Halper
Steven Lofchie
Charles A. Munn
Hyungjoo Han
Other Amici:
FIA Principal Traders Group
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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…
Type:
Recommendations on Reforms to the Consolidated Audit Trail
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) on recommendations for reforms to the Consolidated Audit Trail…