Bitounis v. Interactive Brokers LLC
Court: Ohio Supreme Court Amicus Issue: Whether a broker-dealer or banker may be held liable under Ohio’s aiding and abetting…
The Asset Management Group (AMG) of SIFMA provides comments to the Commodity Futures Trading Commission (CFTC) on proposed business conduct standards for swap dealers and major swap participants, particularly relating to “Special Entities”, RIN 3038-AD25. The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) defines “Special
Entities” to include government agencies, employee benefit plans under the Employee Retirement Income Security Act of 1974, governmental plans as defined in ERISA, endowments and municipalities. AMG believes the proposal could result in unintended harm to Special Entities and would introduce unfair burdens and risks for investment advisers to Special Entities.
SIFMA AMG filed comments with the Securities and Exchange Commission (SEC) on August 29, 2011 in response to the SEC’s proposal regarding business conduct standards for security-based swap dealers and major security-based swap participants.
Court: Ohio Supreme Court Amicus Issue: Whether a broker-dealer or banker may be held liable under Ohio’s aiding and abetting…
Court: U.S. Court of Appeals (Ninth Circuit) Amicus Issue: Whether claimants, who invested in a private equity fund operated as…
SIFMA, The Consumer Bankers Association (CBA), Independent Community Bankers of America (ICBA), Mortgage Bankers Association (MBA), and the National Mortgage…