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…
Issue
Equity Market Structure→
Summary
SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on its Regulatory Notice 11-43, which discusses possible amendments to Rule 5210 concerning indications of interest. SIFMA believes that FINRA’s current approach to the regulation of IOIs adequately addresses the regulatory concerns raised in the new notice, and thus does not believe that any additional or new regulation of IOIs is necessary.