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 to the Securities and Exchange Commission (SEC) on the Options Clearing Corporation’s (OCC’s) proposed rule change to reflect the elimination of a discount to OCC’s clearing fee schedule, File No. SR-OCC-2014-05.
SIFMA appreciates that OCC, as a Systemically Important Financial Markets Utility (SIFMU), needs to raise capital to comply with new proposed SEC requirements. However, SIFMA recommends that OCC provide additional clarity on the reasoning behind its plans to change its price schedule before the new schedule takes effect.
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…