SIFMA

News (515)

1. October 16, 2018 1st Circ. Revives Putnam Investments ERISA Class Action

   ... and the Securities Industry and Financial Markets Association, which filed an amicus brief, are...

2. October 16, 2018 NYSE, Nasdaq Didn’t Justify Market Data Fees, SEC Says

   ... Securities Industry and Financial Markets Association, with the agency's five commissioners voting...

3. September 26, 2018 The Principles Guiding FINRA Enforcement

   ..., she gave a speech at a SIFMA (Securities Industry and Financial Markets Association) conference on...

Cases (12)

1. February 17, 2017 | New York Southern In Re: Lehman Brothers Holdings Inc.

   Bankruptcy Appeal (801)

2. June 1, 2016 | Texas Northern Chamber of Commerce of the United States of America et al v. U.S. Department of Labor et al

   Other Statutes: Administrative Procedure Act/Review or Appeal of Agency Decision

3. October 22, 2015 | New Jersey POTTER v. VALEANT PHARMACEUTICALS INTERNATIONAL, INC. et al

   850(Securities/Commodities)

PTAB Cases (69)

1. October 15, 2018 | CBM2019-00001 Investors Exchange LLC v. Nasdaq, Inc.
2. October 4, 2018 | CBM2018-00045 Investors Exchange LLC v. Nasdaq, Inc.
3. September 14, 2018 | CBM2018-00042 Investors Exchange LLC v. Nasdaq, Inc.

TTAB Cases (3)

1. January 27, 2010 | 91193588 Securities Industry and Financial Markets Association v Duke Jeremy
2. October 26, 2009 | 77524522 Securities Industry and Financial Markets Association v Duke Jeremy
3. June 21, 2002 | 76141874 Securities Industry Association v Executive Conversation Inc The