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Amicus Briefs

SEC v. Tambone Supplemental SIFMA Brief

Summary

SIFMA has submitted an Amicus “Friend of the Court” Brief.

Amicus Issue:
Whether underwriters and their employees may be held primarily liable under Section 10(b) of the Exchange Act and Rule 10b-5 for false statements in a mutual fund prospectus, regardless of whether they ever made statements in the prospectus within the meaning of Rule10b-5(b).
Counsel of Record:

 

Sidley Austin LLP
1501 K Street, NW
Washington, DC 20005

Carter G. Phillips
Jonathan F. Cohn
Daniel A. McLaughlin
Eric D. McArthur

 

 

PDF

Date

4

September

2009

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