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…
Court:
Washington Supreme Court
(petition for review)
Amicus Issue:
Whether the standard for finding evident bias in a FINRA arbitrator is limited to bias based upon either pecuniary interest or a conflicted relationship with one of the parties in the case, or whether evident bias may be based upon other factors, including without limitation, an arbitrator’s involvement as a plaintiff in an active securities litigation similar to the arbitration case.
Counsel of Record:
Orrick Herrington & Sutcliffe LLP
Richard A. Jacobsen
Gregory D. Beaman
Jennifer M. Keighley
Paul F. Rugani
Other Amici:
None.
SIFMA provided comments to FINRA in response to Regulatory Notice (RN) 25-04. We welcome this effort to modernize and update…
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Court: U.S. Court of Appeals (Seventh Circuit) Amicus Issue: Whether the SEC properly denied CBOE’s proposed rule to reclassify order…