In re The Boeing Company Securities Litigation
Court: U.S. Court of Appeals (Fourth Circuit) Amicus Issue: Whether class action plaintiffs can satisfy the requirements of Comcast Corp.…
Summary
The Federal Regulation and Self-Regulation Committees of the Securities Industry Association (SIA)* provide comments to the Securities and Exchange Commission on the National Association of Securities Dealers, Inc. (NASD) proposed guidance (Rule IM-2440-2) on mark-up and mark-down practices for debt securities other than municipal securities, File No. SR-NASD-97-61. SIA offers important modifications to improve the proposal.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
More Submissions
Type:
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Sections 114 and 118
SIFMA provided additional comments to U.S. Securities and Exchange Commission (SEC) in response to The NASDAQ Stock Market LLC’s (“Nasdaq”)…
Type:
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information (Joint Trades)
SIFMA, SIFMA AMG, American Bankers Association (ABA), Bank Policy Institute (BPI), Institute of International Bankers (IIB), Investment Company Institute (ICI),…