Regulatory Notice 25-04: FINRA Rulebook Modernization
SIFMA provided comments to FINRA in response to Regulatory Notice (RN) 25-04. We welcome this effort to modernize and update…
Summary
Court:
U.S. Court of Appeals
(Eighth Circuit)
Amicus Issue:
Whether an ERISA class action complaint can survive a motion to dismiss based on the bare allegation that a 401(k) plan fiduciary breached its duties by offering proprietary funds that underperformed and were more expensive than other, alternative investment options in the marketplace.
Counsel of Record:
O’Melveney & Myers LLP
Gregory Jacob
Brian Boyle
Shannon Barrett
Meaghan Vergow
Other Amici:
None.
More Submissions
Type:
Data Security Reforms for Federal Financial Regulators (Joint Trades)
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Type:
Cboe Exchange v. SEC
Court: U.S. Court of Appeals (Seventh Circuit) Amicus Issue: Whether the SEC properly denied CBOE’s proposed rule to reclassify order…