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 Division of the Washington State Department of Financial Institutions on proposed rulemaking relating to custody requirements for investment advisers, WSR 08-07-055. The proposed rule would provide greater uniformity with the custody rules of the SEC and other states that have adopted the NASAA model custody rule. SIFMA seeks clarification on parts of the proposal so as to offer its experience and expertise throughout the rulemaking process.
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),…