In re The Boeing Company Securities Litigation
Court: U.S. Court of Appeals (Fourth Circuit) Amicus Issue: Whether class action plaintiffs can satisfy the requirements of Comcast Corp.…
Summary
The Securities Industry Association (SIA)* provides comments to the Municipal Securities Rulemaking Board (MSRB) on their draft interpretation on customer protection obligations relating to the marketing of 529 college savings plans (529 plans), MSRB Notice 2005-28.
SIA believes that if the MSRB draft interpretation was approved in its current form, it would undermine the ability of broker-dealers to market 529 plans to investors.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
More Submissions
Type:
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Sections 114 and 118
SIFMA provided additional comments to U.S. Securities and Exchange Commission (SEC) in response to The NASDAQ Stock Market LLC’s (“Nasdaq”)…
Type:
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information (Joint Trades)
SIFMA, SIFMA AMG, American Bankers Association (ABA), Bank Policy Institute (BPI), Institute of International Bankers (IIB), Investment Company Institute (ICI),…