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
SIFMA provides comments to the Securities and Exchange Commission (SEC) on the Financial Industry Regulatory Authority’s (FINRA) proposal to adopt a new, consolidated rule addressing accounts opened or established by associated persons of members at financial institutions other than the firm with which they are associated. FINRA proposes to adopt new FINRA Rule 3210 and to delete NASD Rule 3050, Incorporated NYSE Rules 407 and 407A and Incorporated NYSE Rule Interpretations 407/01 and 407/02.
See also:
Regulatory Notice 09-22
Filing by Financial Industry Regulatory Authority
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),…