Capitol Account

Capitol Account

Share this post

Capitol Account
Capitol Account
Stock Exchanges and State Regulators Come to Finra's Defense in Constitutional Challenge
Copy link
Facebook
Email
Notes
More

Stock Exchanges and State Regulators Come to Finra's Defense in Constitutional Challenge

Also, banks mull how far to push their objections to CRA revamp

Nov 07, 2023
∙ Paid

Share this post

Capitol Account
Capitol Account
Stock Exchanges and State Regulators Come to Finra's Defense in Constitutional Challenge
Copy link
Facebook
Email
Notes
More
Share

Finra, facing what it has called an “existential” federal court fight over its constitutionality, now has some allies. 

Its backers, who recently filed amicus briefs in the U.S. Court of Appeals for the D.C. Circuit, include other self-regulators like stock exchanges, state securities cops and attorneys who represent investors. Even a group that sets hea…

This post is for paid subscribers

Already a paid subscriber? Sign in
© 2025 Capitol Account
Privacy ∙ Terms ∙ Collection notice
Start writingGet the app
Substack is the home for great culture

Share

Copy link
Facebook
Email
Notes
More