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…
Court:
U.S. District Court
(N.D. Illinois)
Amicus Issue:
Whether making a valid offer to trade on an open market would constitute wire fraud if the party hoped to withdraw the offer before acceptance, even in the absence of any misrepresentation to the market, and absent any fiduciary duty that would impose a duty to speak.
Counsel of Record:
Morgan Lewis & Bockius LLP
Kenneth M. Kliebard
Michael M. Philipp
Gregory T. Fouts
Other Amici:
U.S. Chamber of Commerce
Bank Policy Institute
SIFMA provided comments to FINRA in response to Regulatory Notice (RN) 25-04. We welcome this effort to modernize and update…
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Court: U.S. Court of Appeals (Seventh Circuit) Amicus Issue: Whether the SEC properly denied CBOE’s proposed rule to reclassify order…