Regulatory Notice 25-04: Rule Modernization
SIFMA provided comments to FINRA in response to Regulatory Notice (RN) 25-04. We welcome this effort to modernize and update…
Summary
Court:
New York Supreme Court (Appellate Division)
Amicus Issue:
Whether securities underwriters have a duty to conduct due diligence on other underwriters in a securities offering to determine whether or not they have conflicts of interest.
Counsel of Record:
O’Melveney & Myers LLP
Meaghan VerGow
Lauren M. Wagner
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…