FSOC Non-Bank Guidance (Joint Trades)
SIFMA AMG and the undersigned associations provided comments to the Department of the Treasury (DOT) encouraging FSOC to restore the…
Summary
SIFMA has submitted an Amicus “Friend of the Court” Brief
Court:
U.S. District Court
(S.D.N.Y.)
Amicus Issue:
Whether junior underwriters may assert a due diligence defense when they relied upon senior underwriters to perform due diligence
Counsel of Record:
Sidley Austin LLP
787 Seventh Avenue
New York, NY 10019
Joseph McLaughlin
Jonathan F. Cohn
Daniel A. McLaughlin
Patricia C. Fratto
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Type:
Recommendations for FINRA Arbitration
SIFMA provided recommendations to FINRA for improving its arbitration forum.
Type:
Proposed Rule Changes to Amend FINRA Rule 6730 (Transaction Reporting) and Rule G-14 RTRS Procedures Under MSRB Rule G-14
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) regarding FINRA and the MSRB’s amendments…