The Goldman Sachs Group v. Sjunde Ap-Fonden
Court: U.S. Court of Appeals (Second Circuit) (Rule 23(f) petition) Amicus Issue: What is the legal standard in class certification…
Summary
SIFMA provides comment on the Massachusetts Securities Division’s proposed regulation “to apply a fiduciary conduct standard on brokerdealers, agents, investment advisers, and investment adviser representatives when dealing with their customers and clients.” SIFMA expresses concern the proposal, while well intentioned, will limit both the choices available to consumers and their access to one-on-one assistance.
See Press Release: SIFMA Comments on Massachusetts Fiduciary Rule Proposal (July 26, 2019)
More Submissions
Type:
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…
Type:
Australia Public Country-by-Country Reporting Regime
SIFMA AMG, Investment Company Institute (ICI), American Chamber of Commerce in Australia (AmCham Australia), Information Technology Industry Council (ITI), Managed…