Supplemental Comments on Digital Asset Markets (Joint Trades)
SIFMA and joint associations provided additional comments to the President’s Working Group (PWG) on Digital Asset Markets Chair in support…
Court:
U.S. Court of Appeals
(Eleventh Circuit)
Amicus Issue:
Whether claimants are “customers” of RJFS’s formerly associated person for purposes of FINRA Code of Arbitration Procedure Rule 12200. Whether RJFS’s formerly associated person was an “associated person” for purposes of Rule 12200.
Counsel of Record:
Greenberg Traurig, P.A.
Joseph C. Coates, III
Other Amici:
None
SIFMA and joint associations provided additional comments to the President’s Working Group (PWG) on Digital Asset Markets Chair in support…
SIFMA AMG provided comments to the Treasury Markets Practices Group (TMPG) on the Consultative White Paper and Proposed Best Practice…
SIFMA provided comments to the Financial Accounting Standards Board (FASB) on the Invitation to Comment - Financial Key Performance Indicators…