Wells Fargo v. SEB Investment Management
Court: U.S. Court of Appeals (Ninth Circuit) (Rule 23(f) petition) Amicus Issue: Whether class action plaintiffs can satisfy the requirements…
SIFMA provides comments on the proposed rule change filed by PHLX with the SEC. PHLX has filed a proposed rule change to amend Rule 1092, Obvious and Catastrophic Errors. Specifically, PHLX proposes to amend Rule 1092(f)(ii) to permit the nullification of trades involving catastrophic errors in certain situations.
Court: U.S. Court of Appeals (Ninth Circuit) (Rule 23(f) petition) Amicus Issue: Whether class action plaintiffs can satisfy the requirements…
Chief Information Security Officer of Northern Trust, Karl Schimmeck, delivered testimony on behalf of SIFMA at a hearing before the…
Court: Colorado Supreme Court Amicus Issue: Whether C.R.C.P. 11 (which is identical to Fed.R.Civ.P. 11), which imposes a non-delegable duty…