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:
U.S. Court of Appeals (Ninth Circuit)
Amicus Issue: Whether a party may cooperate with a government investigation by voluntarily disclosing work product without waiving the privilege as to other third parties under the “selective waiver doctrine.”
Counsel of Record:
Latham & Watkins LLP
633 W. Fifth Street, Suite 4000
Los Angeles, CA 90071
James J. Farrell
Robert K. Lu
Laurie B. Smilan
David M Brodsky
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…