HFSC Markup of Various Capital Formation Bills
SIFMA provided comments to the U.S. House of Representatives Committee on Financial Services on the Markup of Various Capital Formation…
Summary
Court:
Massachusetts Superior Court
Amicus Issue:
Whether application of the Massachusetts fiduciary rule is limited, as is SEC Regulation Best Interest, to account type and securities recommendations, or whether it extends far more broadly to encompass unsolicited, self-directed securities transactions.
Counsel of Record:
Goodwin Proctor LLP
Jaime A. Santos
Edwina Clarke
Other Amici:
None.
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Modifications to the Capital Plan Rule and Stress Capital Buffer Requirement (Joint Trades)
SIFMA, the Financial Services Forum, Bank Policy Institute, and American Bankers Association provided comments to the Federal Reserve Board (FRB)…