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
(Eleventh Circuit)
Amicus Issue:
Whether claimants are “customers” of RJFS’s formerly associated person for purposes of FINRA Code of Arbitration Procedure Rule 12200. Whether RJFS’s formerly associated person was an “associated person” for purposes of Rule 12200.
Counsel of Record:
Greenberg Traurig, P.A.
Joseph C. Coates, III
Other Amici:
None
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…