Modernizing Delivery Requirements Under the Federal Securities Laws (SIFMA and SIFMA AMG)
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) requesting that the SEC take necessary steps…
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:
Confirmation Letter Related to the UST Clearing Working Group’s Accounting Treatment for UST Repo Transactions Cleared Through FICC White Paper
SIFMA provided comments to the U.S Securities and Exchange Commission (SEC) to confirm their discussion on July 29, 2025 with…
Type:
2024 Section 987 Regulations
SIFMA provided additional comments to the U.S. Department of the Treasury (DOT) on the 2024 Final Regulations and 2024 Proposed…