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.…
SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on FINRA’s request for comment on frequently asked questions (FAQs) related to FINRA Regulatory Notice 10-41, FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market. In September 2010, FINRA released Regulatory Notice 10-41, advising Dealers that in meeting their disclosure, suitability and pricing obligations under MSRB Rules G-17, G-19, and G-30. SIFMA requests that FINRA give strong consideration to issuance of the recommended FAQs.
Court: U.S. Court of Appeals (Fourth Circuit) Amicus Issue: Whether class action plaintiffs can satisfy the requirements of Comcast Corp.…
SIFMA provided additional comments to U.S. Securities and Exchange Commission (SEC) in response to The NASDAQ Stock Market LLC’s (“Nasdaq”)…
SIFMA, SIFMA AMG, American Bankers Association (ABA), Bank Policy Institute (BPI), Institute of International Bankers (IIB), Investment Company Institute (ICI),…