Milligan v. Merrill Lynch
Court: U.S. Court of Appeals (Fourth Circuit) Amicus Issue: Whether an employee can retrospectively recast deferred compensation programs as “ERISA…
Summary
SIFMA provides comments to the U.S. Securities and Exchange Commission (SEC) on FINRA’s proposed rule change filed with the SEC to amend Rule 12904 of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 of the Code of Arbitration Procedure for Industry Disputes.
See also:
FINRA Proposed Rule Change to Permit Award Offsets in Arbitration
More Submissions
Type:
Doelger v. JPMorgan Chase Bank
Court: U.S. Court of Appeals (First Circuit) Amicus Issue: Whether financial advisors have fiduciary duty obligations that require investment managers…
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In re The Boeing Company Securities Litigation
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