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’s statement for the record before the Capital Markets and Government Sponsored Enterprises Subcommittee and Oversight and Investigations Subcommittee at a hearing entitled “Preserving Retirement Security and Investment Choices for All Americans.”
In this statement, SIFMA reiterates its long-standing support of a best interest or uniform fiduciary standard of care for brokers and advisors when providing personalized investment advice, but reiterates its concern that this proposal is unworkable.
See also:
Employee Retirement Income Security Act — ERISA
Conflict of Interest Proposed Rule
SIFMA’s DOL Fiduciary Resource Center
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),…