Regulatory Notice 25-04: FINRA Rulebook Modernization
SIFMA provided comments to FINRA in response to Regulatory Notice (RN) 25-04. We welcome this effort to modernize and update…
Summary
Court:
U.S. Supreme Court
(petition for writ of cert.)
Amicus Issue:
Whether an agreement to arbitrate “all claims” that an ERISA plan participant “may have” against a plan fiduciary encompasses a breach-of-fiduciary duty claim under ERISA § 502(a)(2).
Counsel of Record:
Orrick, Herrington & Sutcliffe LLP
John D. Giansello
Michael Delikat
Other Amici:
None
More Submissions
Type:
Data Security Reforms for Federal Financial Regulators (Joint Trades)
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Type:
Cboe Exchange v. SEC
Court: U.S. Court of Appeals (Seventh Circuit) Amicus Issue: Whether the SEC properly denied CBOE’s proposed rule to reclassify order…