Access to Americans’ Bulk Sensitive Personal Data and Government-Related Data by Countries of Concern
SIFMA provided comments to the U.S. Department of Justice, National Security Division on the proposed rulemaking concerning bulk data transfers…
Summary
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
More Submissions
Type:
Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities (Joint Trades)
SIFMA, SIFMA AMG, the Investment Company Institute (ICI), Alternative Investment Management Association (AIMA), and the International Swaps and Derivatives Association…
Type:
Proposed Rule Change to Modify the GSD Rules (I) Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and (ii) To Address the Conditions of Note H to Rule 15c3-3a (Joint Trades)
SIFMA, SIFMA AMG, the Investment Company Institute (ICI), Alternative Investment Management Association (AIMA), and the International Swaps and Derivatives Association…