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…
SIFMA has submitted an Amicus “Friend of the Court” Brief
Court:
Supreme Court of the State of New York, Appellate Division, First Department
(Also see – Assured Guaranty (UK) v. J.P. Morgan Investment Management )
Amicus Issue
Whether New York’s Martin Act has preemptive effect on common law non-fraud tort claims, as numerous state and federal cases have held.
Counsel of Record:
Wilmer Cutler Pickering Hale and Dorr LLP
399 Park Avenue
New York, NY 10022
Lori A. Martin
Wilmer Cutler Pickering Hale and Dorr LLP
1875 Pennsylvania Avenue, NW
Washington, DC 20006
Paul R.Q. Wolfson
Daniel S. Volchok
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…