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
SIFMA provides comments to the Securities and Exchange Commission (SEC) on a proposal by NASDAQ OMX PHLX to amend Rule 1092, Obvious and Catastrophic Errors, SEC File No. SR-PHLX-2013. SIFMA strongly agrees with PHLX’s request for the nullification of certain trades in certain situations when the resulting price of a non-broker-dealer customer order would violate the customer’s limit price.
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),…