Wells Fargo v. SEB Investment Management
Court: U.S. Court of Appeals (Ninth Circuit) (Rule 23(f) petition) Amicus Issue: Whether class action plaintiffs can satisfy the requirements…
Summary
SIFMA AMG provides comments to the Securities and Exchange Commission (SEC) on the Financial Industry Regulatory Authority’s (FINRA) proposed rule change to amend various aspects of Rule 2210 governing communications with the public. AMG strongly supports FINRA’s engagement in a retrospective rule review and believes that the proposed amendments will result in benefits for asset management firms and investors.
See also:
FINRA Rule 2210 Questions and Answers
More Submissions
Type:
Testimony on the Need for Reauthorization of the CISA Act
Chief Information Security Officer of Northern Trust, Karl Schimmeck, delivered testimony on behalf of SIFMA at a hearing before the…
Type:
CenturyLink v. Houser
Court: Colorado Supreme Court Amicus Issue: Whether C.R.C.P. 11 (which is identical to Fed.R.Civ.P. 11), which imposes a non-delegable duty…