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
SIFMA has submitted an Amicus “Friend of the Court” Brief.
Court:
Court of Appeals,
State of New York
Amicus Issue:
Whether a firm that files a Form U5 enjoys absolute or qualified immunity from defamation suits arising out of statements made on the form.
Counsel of Record:
Orrick, Herrington & Sutcliffe LLP
666 Fifth Ave.
New York, NY 10103
Michael Delikat
Robert S. Whitman
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…