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					                                                                        SIFMA Amicus Brief Program                                                                     Contact Kevin Carroll
                                                                                                                                                                         kcarroll@sifma.org
                                                                                                                                                                              202.962.7382


SIFMA Summary Table of Amicus Briefs 2003 - Present
       Case Name                     Court          Date Filed                                 Amicus Issue                                     Counsel of Record
Retirement Board of the       U.S. District Court     26-Apr-12   Whether residential mortgage-backed securities certificates issued by        Cadwalader,
Policemen’s Annuity and       (S.D.N.Y.)                          certain New York common law trusts are debt, not equity, and thus,           Wickersham & Taft LLP
Benefit Fund of the City of                                       covered by the Trust Indenture Act which generally applies to debt
Chicago, et al. v. The Bank                                       securities.                                                                  Martin L. Seidel
of New York Mellon                                                                                                                             Maurine Bartlett
                                                                                                                                               Jordan Schwartz

Raymond James v. Phillips     Florida Supreme         19-Apr-12   Whether Florida’s statutes of limitations are applicable to securities       Greenberg Traurig,
                              Court                               arbitration claims when the parties have not expressly included a            P.A.
                                                                  provision in the arbitration agreement stating that they are
                                                                  applicable.                                                                  Bradford D. Kaufman
                                                                                                                                               Joseph C. Coates, III
                                                                                                                                               Jason M. Fedo

Chen-Oster v. Goldman         U.S. Court of            3-Apr-12   Whether a brokerage firm’s employees are exempt from their duty to           Morgan, Lewis &
Sachs                         Appeals                             arbitrate claims with their firm, pursuant to a pre-dispute agreement        Bockius LLP
                              (Second Circuit)                    to arbitrate, if they allege a patter or practice claim under Title VII of
                                                                  the Civil Rights Act of 1964.                                                Sam S. Shaulson
                                                                                                                                               Howard M. Radzely




                                                                                                                                                                                    1 of 72
                                                                    SIFMA Amicus Brief Program                                                             Contact Kevin Carroll
                                                                                                                                                             kcarroll@sifma.org
                                                                                                                                                                  202.962.7382


       Case Name                  Court         Date Filed                               Amicus Issue                                  Counsel of Record
RadLAX Gateway Hotel v.    U.S. Supreme Court     9-Mar-12    Whether a debtor may pursue a Chapter 11 plan that proposes to sell     Wilmer Cutler
Amalgamated Bank                                              assets free of liens without allowing the secured creditor to credit    Pickering Hale and
                                                              bid, but instead providing it with the indubitable equivalent of its    Dorr LLP
                                                              claim under Section 1129(b)(2)(A)(iii) of the Bankruptcy Code.
                                                                                                                                      Seth P. Waxman
                                                                                                                                      Craig Goldblatt
                                                                                                                                      Danielle Spinelli




Hanson v. Morgan Stanley   U.S. Court of          27-Jan-12   Whether the industry standard employee trading policies of broker-      Weil, Gotshal &
Smith Barney               Appeals                            dealers – which require employees to generally maintain their           Manges LLP
                           (Ninth Circuit)                    personal brokerage accounts in-house – violates a California law that
                                                              prohibits employers from forcing employees to patronize the             Allan Dinkoff
                                                              employer.




                                                                                                                                                                        2 of 72
                                                                 SIFMA Amicus Brief Program                                                                  Contact Kevin Carroll
                                                                                                                                                               kcarroll@sifma.org
                                                                                                                                                                    202.962.7382


       Case Name                  Court      Date Filed                                Amicus Issue                                   Counsel of Record
Pinnacle v. Dadong        U.S. Court of        18-Jan-12   Whether plaintiffs may circumvent the U.S. Supreme Court’s decision       O’Melveny & Meyers
                          Appeals                          in Morrison v. National Australia Bank by bringing only common law        LLP
                          (Second Circuit)                 fraud and related claims instead of federal securities law claims in
                                                           order to open the doors of the U.S. federal courts to claims based on     Walter Dellinger
                                                           the sale of securities in foreign nations to foreigners.                  Jonathan D. Hacker




SEC v. Richardson         U.S. Court of       30-Nov-11    Whether SEC claims for civil penalties are barred by the five-year        Cleary Gottlieb Steen
                          Appeals                          statute of limitations (28 USC Section 2462) or whether the discovery     & Hamilton LLP
                          (Fifth Circuit)                  rule delays the running until the alleged securities law violations are
                                                           discovered. Whether certain forms of relief, such as an injunction,       Lewis J. Liman
                                                           and an officer and director bar, are penalties under Section 2462         Katherine L. Wilson-
                                                           because they are equitable and non-monetary.                              Milne

                                                                                                                                     Zuckerman Spaeder
                                                                                                                                     LLP

                                                                                                                                     Paul Shechtman
In re Jefferson County,   U.S. Bankruptcy     17-Nov-11    Whether a state-appointed receiver should remain in charge of the         SIFMA
Alabama                   Court (N.D.                      county’s sewer system and the revenues therefrom, consistent with
                          Alabama)                         revenue bond market and investor expectations and Congressional
                                                           intent, or whether control should be shifted to the county.




                                                                                                                                                                          3 of 72
                                                                        SIFMA Amicus Brief Program                                                                 Contact Kevin Carroll
                                                                                                                                                                     kcarroll@sifma.org
                                                                                                                                                                          202.962.7382


       Case Name                    Court           Date Filed                                Amicus Issue                                   Counsel of Record
Rali Case                    U.S. Court of           10-Nov-11    Whether a narrow and identifiable group of highly sophisticated           Gibson Dunn &
                             Appeals                              investors who purchased mortgage-backed securities (MBS) during a         Crutcher LLP
                             (Second Circuit)                     period of more than three years, and who undoubtedly possessed
                                                                  varying degrees of individualized knowledge regarding residential         Robert F. Serio
                                                                  mortgage origination and securitization, should be permitted to           Aric H. Wu
                                                                  proceed as a certified class



Harborview Case              U.S. Court of           10-Nov-11    Whether a narrow and identifiable group of highly sophisticated           Gibson Dunn &
                             Appeals                              investors who purchased mortgage-backed securities (MBS) during a         Crutcher LLP
                             (Second Circuit)                     period of more than three years, and who undoubtedly possessed
                                                                  varying degrees of individualized knowledge regarding residential         Robert F. Serio
                                                                  mortgage origination and securitization, should be permitted to           Aric H. Wu
                                                                  proceed as a certified class



Goldman Sachs v. Bayou       U.S. Court of            20-Oct-11   Whether a securities broker that credits deposits to a customer’s         Sidley Austin LLP
                             Appeals                              own account thereby becomes an “initial transferee” of those
                             (Second Circuit)                     deposits, such that the deposits may be voidable as fraudulent            Henry F. Minnerop
                                                                  transfers under the Bankruptcy Code
Assured Guaranty (UK) Ltd.   New York Court of         7-Oct-11   Whether New York’s Martin Act has preemptive effect on common             Wilmer Cutler
v. J.P. Morgan Investment    Appeals                              law non-fraud tort claims, as numerous state and federal cases have       Pickering Hale and
Management                                                        held.                                                                     Dorr LLP

                                                                                                                                            Lori A. Martin
                                                                                                                                            Paul R.Q. Wolfson
                                                                                                                                            Daniel S. Volchok




McReynolds v. Merrill        U.S. Court of           27-Sep-11    Whether financial services firms may pay their employees on the           Morgan Lewis &
Lynch                        Appeals     (Seventh                 basis of objective, formulaic pay systems, notwithstanding allegations    Bockius LLP
                             Circuit)                             that such systems discriminate, under Title VII, Section 703(h), of the
                                                                  Civil Rights Act of 1964, as amended, with respect to the
                                                                  opportunities employees have to generate the revenue used to              Samuel S. Shaulson
                                                                  calculate compensation.                                                   Michael S. Burkhardt

Willow Creek Capital         U.S. Court of           26-Aug-11    Whether there is a private right of action under SEC Rule 10b-16 and      Morgan Lewis &
Partners v. UBS Securities   Appeals                              if so, what is the legal standard for establishing a violation of Rule    Bockius LLP
                             (Second Circuit)                     10b-16.
                                                                                                                                            Michele A. Coffey
                                                                                                                                                                                4 of 72
                                                                      SIFMA Amicus Brief Program                                                                     Contact Kevin Carroll
                                                                                                                                                                       kcarroll@sifma.org
                                                                                                                                                                            202.962.7382


        Case Name                  Court          Date Filed                                Amicus Issue                                   Counsel of Record
Credit Suisse v. Simmonds    U.S. Supreme Court    25-Aug-11    Whether the two-year statute of limitations established in Section        Morrison & Foerster
                                                                16(b) of the Securities and Exchange Act of 1934, which requires          LLP
                                                                statutory insiders to disgorge profits from short-swing transactions in
                                                                publicly traded issuer securities, begin to run if the targeted insider   Deanne E. Maynard
                                                                has failed to comply with its obligations under Section 16(a) of the      Brian R. Matsui
                                                                Act to disclose short-swing trading activity in reports filed with the    Seth M. Galanter
                                                                SEC.                                                                      Jordan Eth
Viking Global Equities v.    U.S. Court of          3-Aug-11    Whether, in light of the U.S. Supreme Court’s decision in Morrison v.     Cleary Gottlieb Steen
Porsche                      Appeals (Second                    National Australia Bank, 130 S.Ct. 2869 (2010), Section 10(b) of the      & Hamilton LLP
                             Circuit)                           Exchange Act applies to security-based swap agreements referencing        Giovanni P. Prezioso
                                                                shares trade on foreign exchanges merely because plaintiffs allege        Meredith E. Kotler Lee
                                                                that they signed confirmations in the United States.                      F. Berger

Blackstone Group v. Litwin   U.S. Supreme Court    1-Aug-11     Whether, contrary to established judicial and regulatory authority, a     Paul, Weiss, Rifkind,
                                                                court may apply a purely qualitative, segment-by-segment analysis         Wharton & Garrison
                                                                for purposes of establishing the materiality of misstatements or          LLP
                                                                omissions in a securities registration statement.
                                                                                                                                          Charles E. Davidow
                                                                                                                                          John H. Longwell
                                                                                                                                          Brad S. Karp
                                                                                                                                          Susanna M. Buergel
                                                                                                                                          David K. Kessler
Luther, et al. v.            California Supreme     21-Jul-11   Whether class action cases which raise pure 1933 Act claims               Willkie Farr &
Countrywide Financial        Court                              (unaccompanied by state law claims) are removable under the               Gallagher LLP
Corp., et al.                                                   Securities Litigation Uniform Standards Act (SLUSA), or whether state                      Richard
                                                                courts retain concurrent jurisdiction over such claims and they are       Bernstein
                                                                non-removable.
Wilson v. Merrill Lynch      U.S. Court of           8-Jul-11   What types of disclosures would, as a matter of law, preclude             Paul, Hastings,
                             Appeals (Second                    plaintiff from pleading the “manipulative acts” element of a market       Janofsky & Walker LLP
                             Circuit)                           manipulation claim? Would allegations that the defendant firm
                                                                manipulated ARS auctions preclude plaintiff from pleading market          William F. Sullivan
                                                                efficiency for purposes of establishing the “fraud on the market”         Howard Privette
                                                                presumption of reliance? What types of disclosures would rebut the        Barry G. Sher
                                                                presumption of “fraud on the market” (based upon market                   Stephen B. Kinnaird
                                                                efficiency)? What types of disclosure would, as a matter of law,          D. Scott Carlton
                                                                preclude plaintiff from pleading that he justifiably relied on an
                                                                assumption of the ARS market’s integrity?




                                                                                                                                                                                  5 of 72
                                                                         SIFMA Amicus Brief Program                                                                     Contact Kevin Carroll
                                                                                                                                                                          kcarroll@sifma.org
                                                                                                                                                                               202.962.7382


        Case Name                     Court          Date Filed                                 Amicus Issue                                    Counsel of Record
Erica P. John Fund v.          U.S. Supreme Court     31-Mar-11    (1) Whether the Fifth Circuit correctly held, in direct conflict with the   Paul, Weiss, Rifkind,
Halliburton                                                        Second Circuit and district courts in seven other circuits and in           Wharton & Garrison
                                                                   conflict with the principles of Basic Inc. v. Levinson, 485 U.S. 224        LLP
                                                                   (1988), that plaintiffs in securities fraud actions must satisfy not only
                                                                   the requirements set forth in Basic to trigger a rebuttable                 Charles E. Davidow
                                                                   presumption of fraud on the market, but must also establish loss            Brad S. Karp
                                                                   causation at class certification by a preponderance of admissible           Richard A. Rosen
                                                                   evidence without merits discovery.                                          Walter Rieman
                                                                   (2) Whether the Fifth Circuit improperly considered the merits of the       John H. Longwell
                                                                   underlying litigation, in violation of both Eisen v. Carlise & Jacquelin,
                                                                   417 U.S. 156 (1974), and Fed. R. Civ. P. 23, when it held that a
                                                                   plaintiff must establish loss causation to invoke the fraud-on-the-
                                                                   market presumption even though reliance and loss causation are
                                                                   separate and distinct elements of securities fraud actions and even
                                                                   though proof of loss causation is common to all class members.


Sewright and Diggs v. ING      U.S. Court of          17-Mar-11    Whether an ERISA plan fiduciary may be sued for allowing an ERISA           Crowell & Moring LLP
Groep, N.V.                    Appeals (Eleventh                   plan to offer employer stock when the plan requires it to do so.                        Thomas
                               Circuit)                                                                                                        P. Gies
                                                                                                                                               Mark A. Egert
                                                                                                                                               Joel D. Wood

AFTRA Retirement Fund v.       U.S. District Court     3-Mar-11    Whether, by engaging in repo financing with Sigma while holding             Cadwalader,
JPMorgan Chase Bank            (S.D.N.Y.)                          Sigma notes in plaintiffs’ accounts, the firm created a conflict with       Wickersham & Taft LLP
                                                                   the interests of its securities lending clients and thereby violated a
                                                                   duty of loyalty owed to those clients under ERISA and the common            Martin L. Seidel
                                                                   law.                                                                        Nathan Bull


UBS v. West Virginia           U.S. Court of           1-Mar-11    Whether an ARS issuer is a “customer” of a brokerage firm, as that          Sullivan & Cromwell
University Hospitals, et al.   Appeals                             term is used in FINRA Rule 12200, such that the ARS issuer can              LLP
                               (Second Circuit)                    compel the firm to arbitrate a dispute between the parties in the
                                                                   FINRA arbitration forum.                                                    Robert J. Giuffra, Jr.
                                                                                                                                               Brent J. McIntosh

Lehman Brothers Holdings       U.S. Bankruptcy          2-Feb-11   Whether the “in connection with” language in Bankruptcy Code                Mayer Brown LLP
Inc. v. JPMorgan Chase         Court (SDNY)                        section 546(g) (the avoidance exemption for swap agreements) and            1675 Broadway
Bank                                                               the “related to” language in Bankruptcy Code section 101(53B)(A)(vi)        New York, NY 10019
                                                                   (definition of swap agreement) should be read narrowly so as to
                                                                   exclude transfers and agreements which are not expressly provided           Christopher J. Houpt
                                                                   for in, or do not expressly refer to, the original transaction              Joshua Cohn
                                                                   documents.
                                                                                                                                                                                     6 of 72
                                                                      SIFMA Amicus Brief Program                                                                Contact Kevin Carroll
                                                                                                                                                                  kcarroll@sifma.org
                                                                                                                                                                       202.962.7382


        Case Name                  Court          Date Filed                               Amicus Issue                                 Counsel of Record
Microsoft v. i4i Limited     U.S. Supreme Court      2-Feb-11   Whether, when a defense of patent invalidity rests on documentary      Chadbourne & Parke
Partnership                                                     evidence that was not considered by the Patent and Trademark           LLP
                                                                Office (PTO), the defense must be proved by clear and convincing
                                                                evidence, or whether some lesser evidentiary standard is more          John A. Squires
                                                                appropriate.                                                           Dennis Hopkins
                                                                                                                                       Charles M. Fish
                                                                                                                                       Kate McSweeny

Wal-Mart Stores v. Dukes     U.S. Supreme Court     27-Jan-11   Whether a federal court may hear a nationwide class action on behalf   Orrick, Herrington &
                                                                of hundreds of thousands of female Wal-Mart employees who allege       Sutcliffe LLP
                                                                that the company engaged in a pattern and practice of pay and
                                                                promotion discrimination.                                              E. Joshua Rosenkranz
                                                                                                                                       Michael Delikat
                                                                                                                                       Jill L. Rosenberg
                                                                                                                                       John D. Giansello
                                                                                                                                       Gary R. Siniscalco
                                                                                                                                       Patricia K. Gillette
                                                                                                                                       Greg J. Richardson
                                                                                                                                       Lauri A. Damrell
Global-Tech Appliances, et   U.S. Supreme Court     6-Dec-10    Whether the legal standard for the state-of-mind element of a claim    Alston & Bird LLP
al. v. SEB                                                      for actively inducing infringement under 35 U.S.C. §271(b) is          101 South Tryon Street
                                                                “deliberate indifference of a known risk” that an infringement may     Suite 4000
                                                                occur, as the Court of Appeals for the Federal Circuit held, or        Charlotte, NC 28280
                                                                “purposeful, culpable expression and conduct” to encourage an
                                                                infringement, as the Supreme Court held in MGM Studios, Inc. v.        Michael S. Connor
                                                                Grokster, Ltd., 545 U.S. 913, 937 (2005).                              Benjamin F. Sidbury
                                                                                                                                       Theresa Conduah




                                                                                                                                                                             7 of 72
                                                                      SIFMA Amicus Brief Program                                                                 Contact Kevin Carroll
                                                                                                                                                                   kcarroll@sifma.org
                                                                                                                                                                        202.962.7382


        Case Name                   Court          Date Filed                               Amicus Issue                                  Counsel of Record
In re Theodore W. Urban      Securities and         22-Nov-10   Whether and under what circumstances the duties and conduct of a         Cleary Gottlieb Steen
                             Exchange                           General Counsel or other non-line supervisor in a broker-dealer’s        & Hamilton LLP
                             Commission                         legal or compliance department could give rise to a duty to supervise,   2000 Pennsylvania
                                                                and what conduct and actions would satisfy such a duty.                  Avenue, NW
                                                                                                                                         Washington, DC 20006

                                                                                                                                         Giovanni P. Prezioso
                                                                                                                                         Steven A. Haidar

                                                                                                                                         One Liberty Plaza
                                                                                                                                         New York, NY 10006

                                                                                                                                         Breon S. Peace
                                                                                                                                         Lisa M. Coyle




Renfro v. Unisys, et al.     U.S. Court of          15-Nov-10   Whether broker-dealers who provide recordkeeping services to             McDermott Will &
                             Appeals (Third                     401(k) plans may be held to a fiduciary standard and if so, what         Emery LLP
                             Circuit)                           specific conduct and level of services would satisfy such a standard.    227 West Monroe
                                                                                                                                         Street
                                                                                                                                         Chicago, IL 60606
                                                                                                                                         Nancy G. Ross
                                                                                                                                         McDermott Will &
                                                                                                                                         Emory LLP
                                                                                                                                         18191 Von Karman
                                                                                                                                         Irvine, CA 92612
                                                                                                                                         Chris C. Scheithauer
Lehman Brothers Special      U.S. District Court     1-Nov-10   Whether "flip clauses" - which subordinate amounts payable to            Orrick, Herrington &
Financing v. BNY Corporate   (S.D.N.Y.)                         Lehman (in favor of collateralized debt obligation (CDO) noteholders)    Sutcliffe LLP
Trustee Services                                                on the termination of credit default swaps backing synthetic CDO's -     51 West 52nd Street
                                                                are enforceable, or whether such clauses are barred by the ipso facto    New York, NY 10019
                                                                doctrine of bankruptcy                                                   Stephen J. Fink

                                                                                                                                         The Orrick Building
                                                                                                                                         405 Howard Street
                                                                                                                                         San Francisco, CA
                                                                                                                                         94105
                                                                                                                                         Thomas C. Mitchell




                                                                                                                                                                              8 of 72
                                                                    SIFMA Amicus Brief Program                                                                  Contact Kevin Carroll
                                                                                                                                                                  kcarroll@sifma.org
                                                                                                                                                                       202.962.7382


          Case Name               Court          Date Filed                                Amicus Issue                                   Counsel of Record
Microsoft v. i4i Limited   U.S. Supreme Court     29-Sep-10   Whether, when a defense of patent invalidity rests on documentary          Chadbourne & Parke
Partnership                                                   evidence that was not considered by the Patent and Trademark               LLP
                                                              Office (PTO), the defense must be proved by clear and convincing           30 Rockefeller Plaza
                                                              evidence, or whether some lesser evidentiary standard is more              New York, NY 10112
                                                              appropriate.                                                               John A. Squires

Janus Capital              U.S. Supreme Court     10-Sep-10   Whether the Fourth Circuit erred in concluding - in direct conflict        Sidley Austin LLP
                                                              with decisions of the Fifth, Sixth, and Eighth Circuits - that a service   1501 K Street, NW
                                                              provider can be held primarily liable in a private securities-fraud        Washington, DC 20005
                                                              action for “help[ing]” or “participating in” another company's             Carter G. Phillips
                                                              misstatements. Whether the Fourth Circuit erred in concluding - in         Jonathan F. Cohn
                                                              direct conflict with decisions of the Second, Tenth, and Eleventh          Daniel A. McLaughlin
                                                              Circuits - that a service provider can be held primarily liable in a       Eric D. McArthur
                                                              private securities-fraud action for statements that were not directly
                                                              and contemporaneously attributed to the service provider.


Matrixx                    U.S. Supreme Court     27-Aug-10   Whether a plaintiff can state a claim under § 10(b) of the Securities      Dewey & LeBoeuf LLP
                                                              Exchange Act and SEC Rule 10b-5 based on a pharmaceutical                  1101 New York
                                                              company’s nondisclosure of adverse event reports even though the           Avenue, NW
                                                              reports are not alleged to be statistically significant.                   Washington, DC 20005
                                                                                                                                         Lyle Roberts
                                                                                                                                         Jonathan E. Richman
                                                                                                                                         N. Noelle Francis



Enron v. ING               U.S. Court of          20-Aug-10   Whether transfers of commercial paper that settle on the DTC are           Mayer Brown LLP
                           Appeals (Second                    insulated from voidable preference claims under the safe-harbor of         1675 Broadway
                           Circuit)                           section 546(e) of the Bankruptcy Code.                                     New York, NY 10019
                                                                                                                                         Christopher J. Houpt
                                                                                                                                         Joshua Cohn

Goldman Sachs v. Bayou     U.S. District Court     5-Aug-10   Whether a securities broker that credits deposits to a customer’s          Sidley Austin LLP
                           (S.D.N.Y.)                         own account thereby becomes an “initial transferee” of those               787 Seventh Avenue
                                                              deposits, such that the deposits may be voidable as fraudulent             New York, NY 10019
                                                              transfers under the Bankruptcy Code.                                       Henry F. Minnerop
                                                                                                                                         Daniel A. McLaughlin




                                                                                                                                                                             9 of 72
                                                                     SIFMA Amicus Brief Program                                                                     Contact Kevin Carroll
                                                                                                                                                                      kcarroll@sifma.org
                                                                                                                                                                           202.962.7382


       Case Name                   Court         Date Filed                                 Amicus Issue                                     Counsel of Record
Fisher v. JPMorgan Chase     U.S. Court of         4-Aug-10    Whether an ERISA plan fiduciary may be sued for allowing an ERISA            Allen & Overy LLP
                             Appeals (Second                   plan to offer employer stock when the plan requires it to do so.             1221 Avenue of the
                             Circuit)                                                                                                       Americas
                                                                                                                                            New York, NY 10020
                                                                                                                                            Pamela Rogers
                                                                                                                                            Chepiga
                                                                                                                                            Andrew Rhys Davies
                                                                                                                                            Henry Morgenbesser
                                                                                                                                            Lanier Saperstein


Kirschner v. KPMG            Court of Appeals,     23-Jul-10   Whether the adverse interest exception to thein pari delicto defense         Skadden, Arps, Slate,
                             State of New York                 is satisfied for pleading purposes simply by alleging that the plaintiff’s   Meagher & Flom LLP
                                                               officers/directors acted solely for the purpose of enriching                 Four Times Square
                                                               themselves, thereby negating a third party’s ability to rely on the in       New York, NY 10036
                                                               pari delicto defense at the motion to dismiss stage.                         Scott D. Musoff
                                                                                                                                            Christos Ravanides


Barclays Capital v.          U.S. Court of         22-Jul-10   Whether time-sensitive facts (the buy/sell recommendations) from a           Paul, Hastings,
TheFlyOnTheWall.com          Appeals (Second                   securities firm’s research reports are entitled to protection against        Janofsky & Walker LLP
                             Circuit)                          immediate republication by news aggregators under the “hot news”             875 15th Street, NW
                                                               misappropriation doctrine.                                                   Washington, DC 20005
                                                                                                                                            Stephen B. Kinnaird
                                                                                                                                            Barry Sher
                                                                                                                                            William F. Sullivan
                                                                                                                                            Peter M. Stone
                                                                                                                                            Morgan J. Miller



Gearren v. The McGraw Hill   U.S. Court of         22-Jul-10   Whether an ERISA plan fiduciary may be sued for allowing an ERISA            Simpson Thacher &
Companies                    Appeals (Second                   plan to offer employer stock when the plan requires it to do so.             Bartlett LLP
                             Circuit)                                                                                                       425 Lexington Avenue
                                                                                                                                            New York, NY 10017
                                                                                                                                            Joseph M. McLaughlin
                                                                                                                                            George S. Wang
                                                                                                                                            Agnès Dunogué
                                                                                                                                            Hiral D. Mehta




                                                                                                                                                                                10 of 72
                                                                        SIFMA Amicus Brief Program                                                                   Contact Kevin Carroll
                                                                                                                                                                       kcarroll@sifma.org
                                                                                                                                                                            202.962.7382


        Case Name                     Court         Date Filed                                Amicus Issue                                   Counsel of Record
SAL Financial Services, Inc.   Second District        12-Jul-10   Whether a Florida court may apply a fee multiplier to a statutory         Clifford Chance US LLP
v. Gauzza                      Court of Appeal,                   award of attorneys’ fees awarded in a FINRA securities arbitration        2001 K Street, NW
                               State of Florida                   case.                                                                     Washington, DC 20006
                                                                                                                                            Stephen M.
                                                                                                                                            Nickelsburg
                                                                                                                                            Michelle Williams
                                                                                                                                            Erin Louise Palmer



RBC Dominion Securities        U.S. Court of           2-Jul-10   Whether a purchaser of securities can rely on the seller’s broker’s       Milbank, Tweed,
Corp. v. Schneider             Appeals (Second                    oral agreement as to the size and price of the securities to be sold as   Hadley & McCloy LLP
                               Circuit)                           a binding oral agreement to sell the securities on those terms, or        One Chase Manhattan
                                                                  whether the purchaser is required to make a further inquiry into the      Plaza
                                                                  scope of their counterparties’ authority to engage in a particular        New York, NY 10005
                                                                  trade when dealing with a broker.                                         Sean M. Murphy


CMMF v. J.P. Morgan            Supreme Court of       30-Apr-10   Whether New York’s Martin Act has preemptive effect on common             Wilmer Cutler
Investment Management /        the State of New                   law non-fraud tort claims, as numerous state and federal cases have       Pickering Hale and
Assured Guaranty (UK) v.       York, Appellate                    held.                                                                     Dorr LLP
J.P. Morgan Investment         Division, First                                                                                              399 Park Avenue
Management                     Department                                                                                                   New York, NY 10022
                                                                                                                                            Lori A. Martin
                                                                                                                                            Wilmer Cutler
                                                                                                                                            Pickering Hale and
                                                                                                                                            Dorr LLP
                                                                                                                                            1875 Pennsylvania
                                                                                                                                            Avenue, NW
                                                                                                                                            Washington, DC 20006
                                                                                                                                            Paul R.Q. Wolfson
                                                                                                                                            Daniel S. Volchok

J.P. Morgan Chase v.           U.S. Supreme Court     26-Apr-10   Whether an underwriter who is tasked with approving loans, in             Weil, Gotshal &
Whalen                                                            accordance with detailed guidelines provided by his employer, is an       Manges LLP
                                                                  administrative employee exempt from the overtime requirements of          767 Fifth Avenue
                                                                  the Fair Labor Standards Act (FLSA).                                      New York, NY 10153
                                                                                                                                            Allan Dinkoff




                                                                                                                                                                                 11 of 72
                                                                       SIFMA Amicus Brief Program                                                                 Contact Kevin Carroll
                                                                                                                                                                    kcarroll@sifma.org
                                                                                                                                                                         202.962.7382


       Case Name                     Court         Date Filed                                Amicus Issue                                  Counsel of Record
Amgen Securities Litigation   U.S. Court of           2-Apr-10   Whether the fraud-on-the-market (FOTM) presumption can be met            Wilmer Cutler
                              Appeals (Ninth                     at the class certification stage merely upon a showing that the stock    Pickering Hale and
                              Circuit)                           at issue traded in an efficient market. Whether defendant must be        Dorr
                                                                 afforded an opportunity to rebut the FOTM presumption before the         1875 Pennsylvania
                                                                 class is certified.                                                      Avenue, NW
                                                                                                                                          Washington, DC 20005
                                                                                                                                          Andrew N. Vollmer
                                                                                                                                          Judith E. Coleman


Citigroup ERISA Litigation    U.S. Court of         26-Mar-10    Whether an ERISA plan fiduciary may be sued for allowing an ERISA        Orrick, Herrington &
                              Appeals (Second                    plan to offer employer stock when the plan requires it to do so.         Sutcliffe LLP
                              Circuit)                                                                                                    666 Fifth Avenue
                                                                                                                                          New York, NY 10103-
                                                                                                                                          0001

                                                                                                                                          Ira G. Rosenstein
                                                                                                                                          Joseph Liburt
John Hancock v. U.S.          U.S. Court of         10-Mar-10    Whether section 6323 of the Internal Revenue Code provides               Sullivan & Cromwell
                              Appeals (Fifth                     protection for security interests held by indenture trustees on behalf   LLP
                              Circuit)                           of secured creditors against later-arising tax liens on the debtor’s     125 Broad Street
                                                                 property.                                                                New York, NY 1000
                                                                                                                                          Bruce E. Clark
                                                                                                                                          H. Rodgin Cohen
                                                                                                                                          Michael M. Wiseman
                                                                                                                                          Adam J. Fee


National Australia Bank       U.S. Supreme Court    26-Feb-10    Whether foreign plaintiffs may sue foreign companies for foreign         Cleary Gottlieb Steen
                                                                 conduct under U.S. securities laws.                                      & Hamilton LLP
                                                                                                                                          One Liberty Plaza New
                                                                                                                                          York, NY 10006

                                                                                                                                          Deborah M. Buell
                                                                                                                                          Giovanni P. Prezioso
                                                                                                                                          Meredith Kotler
                                                                                                                                          Lauren L. Peacock
                                                                                                                                          Jorge G. Tenreiro
                                                                                                                                          Suzanne B. McMillan




                                                                                                                                                                              12 of 72
                                                                 SIFMA Amicus Brief Program                                                                     Contact Kevin Carroll
                                                                                                                                                                  kcarroll@sifma.org
                                                                                                                                                                       202.962.7382


       Case Name                Court        Date Filed                                 Amicus Issue                                     Counsel of Record
Symbol Technologies v.    Supreme Court of      6-Jan-10   Whether the adverse interest exception to the in pari delicto defense        Wilmer Cutler
Deloitte & Touche         the State of New                 is satisfied for pleading purposes simply by alleging that the plaintiff's   Pickering Hale and
                          York, Appellate                  officers/directors acted solely for the purpose of enriching                 Dorr LLP
                          Division, Second                 themselves, thereby negating a third party's ability to rely on the in       1875 Pennsylvania
                          Department                       pari delicto defense at the motion to dismiss stage.                         Avenue, NW
                                                                                                                                        Washington, DC 20007
                                                                                                                                        Lori A. Martin
                                                                                                                                        Philip D. Anker
                                                                                                                                        Alyshea Austern


Broom v. Morgan Stanley   Supreme Court of    29-Dec-09    Whether a court may vacate an arbitration award under Washington             Greenberg Traurig,
                          the State of                     law for "error of law" or whether the court is limited to the narrower       P.A.
                          Washington                       statutory grounds, and whether arbitrators are precluded under               2375 E. Camelback
                                                           Washington law from applying the state statute of limitations to state       Road Suite 700
                                                           law claims brought in arbitration, such that dismissal of an arbitration     Phoenix, AZ 85016
                                                           claim on this ground constitutes an error of law.
                                                                                                                                        David Palzik
                                                                                                                                        Greenberg Traurig,
                                                                                                                                        P.A. 777 S. Flagler
                                                                                                                                        Drive Suite 300 East
                                                                                                                                        West Palm Beach, FL
                                                                                                                                        33401
                                                                                                                                        Bradford D. Kaufman
                                                                                                                                        Jason M. Fedo

Whalen v. J.P. Morgan     U.S. Court of       22-Dec-09    Whether an underwriter who is tasked with approving loans, in                Weil, Gotshal &
Chase                     Appeals (Second                  accordance with detailed guidelines provided by his employer, is an          Manges LLP
                          Circuit)                         administrative employee exempt from the overtime requirements of             767 Fifth Avenue
                                                           the Fair Labor Standards Act (FLSA).                                         New York, NY 10153
                                                                                                                                        Allan Dinkoff

Holmes v. Grubman and     Supreme Court of     16-Oct-09   Whether Georgia common law recognizes fraud claims based on                  Skadden, Arps, Slate,
Citigroup                 Georgia                          forbearance in the sale of publicly traded securities.                       Meagher & Flom LLP
                                                                                                                                        Four Times Square
                                                                                                                                        New York, NY 10036
                                                                                                                                        Jay B. Kasner
                                                                                                                                        Scott D. Musoff
                                                                                                                                        Jonathan Eisenberg




                                                                                                                                                                            13 of 72
                                                                         SIFMA Amicus Brief Program                                                                  Contact Kevin Carroll
                                                                                                                                                                       kcarroll@sifma.org
                                                                                                                                                                            202.962.7382


        Case Name                     Court          Date Filed                                Amicus Issue                                    Counsel of Record
In re Infineon Technologies    U.S. Court of            9-Sep-09   Whether foreign investors may sue a foreign issuer for foreign             Wachtell, Lipton,
AG Securities Litigation       Appeals (Ninth                      conduct under U.S. securities laws in U.S. Court.                          Rosen & Katz
                               Circuit)                                                                                                       51 West 52nd Street
                                                                                                                                              New York, NY 10019
                                                                                                                                              George T. Conway III

Jones v. Harris                U.S. Supreme Court     27-Aug-09    Whether, in evaluating a Section 36(b) claim for excessive mutual          Sidley Austin LLP
                                                                   fund management fees, the court should examine whether the                 1501 K Street, NW
                                                                   services provided were reasonably worth their cost, or instead,            Washington, DC 20005
                                                                   whether the client made a voluntary choice ex ante with the benefit        Carter G. Phillips
                                                                   of adequate disclosure.                                                    Jonathan F. Cohn
                                                                                                                                              James C. Owens
                                                                                                                                              Sidley Austin LLP
                                                                                                                                              787 Seventh Avenue
                                                                                                                                              New York, NY 10019
                                                                                                                                              John A. MacKinnon
                                                                                                                                              Robert Pietrzak

Merck & Co. v. Reynolds        U.S. Supreme Court     17-Aug-09    Whether the Third Circuit erred in holding, in accord with the Ninth       Willkie Farr &
                                                                   Circuit but in contrast to nine other Courts of Appeals, that under the    Gallagher LLP
                                                                   “inquiry notice” standard applicable to federal securities fraud claims,   1875 K Street, NW
                                                                   the statute of limitations does not begin to run until an investor         Washington, DC 20006
                                                                   receives evidence of scienter without the benefit of any                   Richard D. Bernstein
                                                                   investigation.                                                             Michael R. Young
                                                                                                                                              Mary Eaton
                                                                                                                                              Dan C. Kozusko
                                                                                                                                              Frank M. Scaduto


In re Refco, Inc. Securities   U.S. District Court     6-May-09    Whether junior underwriters may assert a due diligence defense             Sidley Austin LLP
Litigation                     (S.D.N.Y.)                          when they relied upon senior underwriters to perform due diligence.        787 Seventh Avenue
                                                                                                                                              New York, NY 10019
                                                                                                                                              Joseph McLaughlin
                                                                                                                                              Jonathan F. Cohn
                                                                                                                                              Daniel A. McLaughlin
                                                                                                                                              Patricia C. Fratto




                                                                                                                                                                                 14 of 72
                                                                  SIFMA Amicus Brief Program                                                                  Contact Kevin Carroll
                                                                                                                                                                kcarroll@sifma.org
                                                                                                                                                                     202.962.7382


       Case Name                Court         Date Filed                                Amicus Issue                                    Counsel of Record
In re Healthsouth        U.S. Court of          24-Apr-09   Whether the fraud on the market presumption of class-wide reliance         Shearman & Sterling
Corporation Securities   Appeals (Eleventh                  is available to a class of stockholders asserting Section 10(b) claims     LLP
Litigation               Circuit)                           against an initial purchaser in a Rule 144A private placement of the       599 Lexington Avenue
                                                            issuer’s debt securities, based on the theory that the initial purchaser   New York, New York
                                                            – by having its name on the cover of the confidential private              10022
                                                            placement offering materials and by participating in the private           Herbert S. Washer
                                                            placement – made an implied statement to the investing public at           Daniel C. Lewis
                                                            large, implicitly “endorsing” the issuer’s financial statements.
SEC v. Tambone           U.S. Court of          24-Apr-09   Whether underwriters and their employees may be held primarily             Sidley Austin LLP
                         Appeals (First                     liable under Section 10(b) of the Exchange Act and Rule 10b-5 for          1501 K Street, NW
                         Circuit)                           false statements in a mutual fund prospectus, regardless of whether        Washington, DC 20005
                                                            they ever made statements in the prospectus within the meaning of          Carter G. Phillips
                                                            Rule10b-5(b).                                                              Jonathan F. Cohn
                                                                                                                                       Daniel A. McLaughlin
                                                                                                                                       Eric D. McArthur


Capital One Bank v.      U.S. Supreme Court     17-Apr-09   Whether a State may impose income tax on a bank with no physical           Sullivan & Cromwell
Comm’r of Revenue                                           presence in that State.                                                    LLP
                                                                                                                                       125 Broad Street
                                                                                                                                       New York, NY 10004
                                                                                                                                       Richard Urowsky




                                                                                                                                                                          15 of 72
                                                                 SIFMA Amicus Brief Program                                                                    Contact Kevin Carroll
                                                                                                                                                                 kcarroll@sifma.org
                                                                                                                                                                      202.962.7382


       Case Name                Court        Date Filed                                Amicus Issue                                    Counsel of Record
Schachter v. Citigroup    Supreme Court of     15-Jan-09   Whether the forfeiture provisions in Citi’s voluntary incentive            Morgan, Lewis &
                          the State of                     compensation plan – which gives employees the option of using a            Bockius LLP
                          California                       portion of their earnings to purchase shares in the company’s stock        101 Park Avenue
                                                           below market price, but which provides that employees forfeit both         New York, NY 10178
                                                           the stock and the money used to purchase it if they resign or are          Sam S. Shaulson
                                                           terminated for cause within a two-year period – violate the California     Morgan, Lewis &
                                                           Labor Code’s requirement that an employer pay an employee all              Bockius LLP
                                                           earned wages at the time the employee ceases employment.                   One Market, Spear
                                                                                                                                      Tower
                                                                                                                                      San Francisco, CA
                                                                                                                                      94105
                                                                                                                                      Thomas M. Peterson
                                                                                                                                      Morgan, Lewis &
                                                                                                                                      Bockius LLP
                                                                                                                                      5 Park Plaza, Suite
                                                                                                                                      1750
                                                                                                                                      Irvine, CA 92612
Broom v. Morgan Stanley   Supreme Court of     1-Dec-08    Whether a court may vacate an arbitration award under Washington           Greenberg Traurig,
                          the State of                     law for “error of law” or whether the court is limited to the narrower     P.A.
                          Washington                       statutory grounds, and whether arbitrators are precluded under             777 S. Flagler Drive
                                                           Washington law from applying the state statute of limitations to state     Suite 300 East
                                                           law claims brought in arbitration, such that dismissal of an arbitration   West Palm Beach, FL
                                                           claim on this ground constitutes an error of law.                          33401
                                                                                                                                      David Paltzik
                                                                                                                                      Bradford D. Kaufman
                                                                                                                                      Jason M. Fedo
Gredd v. Bear Stearns     U.S. Court of       19-Nov-08    Whether a securities broker that credits deposits to a customer’s          Pepper Hamilton LLP
                          Appeals (Second                  own account thereby becomes an “initial transferee” of those               Hamilton Square
                          Circuit)                         deposits, such that the deposits may be voidable as fraudulent             600 Fourteenth Street,
                                                           transfers under the Bankruptcy Code.                                       N.W.
                                                                                                                                      Washington, DC 20005
                                                                                                                                      Ivan B. Knauer




                                                                                                                                                                           16 of 72
                                                                       SIFMA Amicus Brief Program                                                                 Contact Kevin Carroll
                                                                                                                                                                    kcarroll@sifma.org
                                                                                                                                                                         202.962.7382


       Case Name                    Court          Date Filed                               Amicus Issue                                  Counsel of Record
SIFMA Reply Brief                                     9-Sep-08   Whether Section 17(a) of the Securities Act of 1933 and Section 10(b)   Cabaniss, Johnston,
                                                                 of the Securities Exchange Act of 1934 apply to interest rate swap      Gardner, Dumas &
                                                                 transactions under which payments are based on the SIFMA                O’Neal LLP
                                                                 Municipal Swap Index.                                                   2001 Park Place, North
                                                                                                                                         Suite 700
                                                                                                                                         Birmingham, AL 35203
                                                                                                                                         Crawford S.
                                                                                                                                         McGivaren, Jr.



Securities and Exchange      U.S. District Court     7-Aug-08    Whether Section 17(a) of the Securities Act of 1933 and Section 10(b)   Cadwalader
Commission v. Langford, et   (N.D. Alabama)                      of the Securities Exchange Act of 1934 apply to interest rate swap      Wickensham & Taft
al.                                                              transactions under which payments are based on the SIFMA                One World Financial
                                                                 Municipal Swap Index.                                                   Center
                                                                                                                                         New York, NY 10287
                                                                                                                                         Jonathan M. Hoff
                                                                                                                                         Lary Stromfeld
                                                                                                                                         Maurine Bartlett
                                                                                                                                         Tom M. Fini
CSX Corporation v. The       U.S. Court of           18-Jul-08   Whether defendants had beneficial ownership, within the meaning of      Cleary Gottlieb Steen
Children’s Investment Fund   Appeals (Second                     Reg. 13D, of the CSX shares held by their cash- settled total return    & Hamilton LLP
                             Circuit)                            equity swap counterparties.                                             One Liberty Plaza
                                                                                                                                         New York, NY 10006
                                                                                                                                         David M. Becker
                                                                                                                                         Edward J. Rosen
                                                                                                                                         Michael D. Dayan
                                                                                                                                         Joon H. Kim
                                                                                                                                         Shiwon Choe
Luther v. Countrywide        U.S. Court of           13-Jun-08   Whether the Class Action Fairness Act of 2005 (CAFA) permits            Willkie Farr &
Home Loans Servicing, LP     Appeals (Ninth                      removal to federal court of a case brought under Section 11 of the      Gallagher LLP
                             Circuit)                            Securities Act of 1933, even though the Securities Uniform Standards    787 Seventh Avenue
                                                                 Act (SLUSA) does not, because of the nature/type of the securities      New York, NY 10019
                                                                 involved.                                                               John R. Oller
                                                                                                                                         David M. Stolzfus
                                                                                                                                         Willkie Farr &
                                                                                                                                         Gallagher LLP
                                                                                                                                         1875 K Street, NW
                                                                                                                                         Washington, DC 20006
                                                                                                                                         Richard D. Bernstein



                                                                                                                                                                              17 of 72
                                                                       SIFMA Amicus Brief Program                                                                Contact Kevin Carroll
                                                                                                                                                                   kcarroll@sifma.org
                                                                                                                                                                        202.962.7382


       Case Name                    Court          Date Filed                               Amicus Issue                                  Counsel of Record
CSX Corporation v. The       U.S. District Court      2-Jun-08   Whether defendants had beneficial ownership, within the meaning of      Cleary Gottlieb Steen
Children’s Investment Fund   (S.D.N.Y.)                          Reg. 13D, of the CSX shares held by their cash- settled total return    & Hamilton LLP
                                                                 equity swap counterparties.                                             One Liberty Plaza
                                                                                                                                         New York, NY 10006
                                                                                                                                         David M. Becker
                                                                                                                                         Edward J. Rosen
                                                                                                                                         Michael D. Dayan

Central Laborers Pension     U.S. Court of          30-May-08    Whether and under what circumstances a claim under Section 11 of        Dewey & LeBoeuf LLP
Fund v. Merix Corporation    Appeals (Ninth                      the Securities Act of 1933 is subject to the heightened pleading        333 South Grand
                             Circuit)                            requirements of Fed. R. Civ. P. 9(b).                                   Avenue
                                                                                                                                         Los Angeles, CA 90071
                                                                                                                                         John E. Schreiber
                                                                                                                                         Dewey & LeBoeuf LLP
                                                                                                                                         1101 New York
                                                                                                                                         Avenue, NW
                                                                                                                                         Washington, DC 20005
                                                                                                                                         Lyle Roberts


Brown v. Wells Fargo         Court of Appeal of     22-May-08    Whether Wells Fargo entered into a fiduciary relationship with their    Munger, Tolles &
                             the State of                        customer; whether Wells Fargo breached their alleged fiduciary duty     Olson LLP
                             California, Second                  by failing to advise the customer about a standard arbitration clause   355 South Grand
                             Appellate District                  in the brokerage agreement; and whether the standard securities         Avenue
                                                                 industry arbitration clause is unconscionable.                          35th Floor
                                                                                                                                         Los Angeles, CA 90071
                                                                                                                                         George M. Garvey
                                                                                                                                         Jeffrey Y. Wu


Safron Capital Corp. v.      U.S. Court of          15-May-08    Whether and under what circumstances a claim under Section 11 of        Dewey & LeBoeuf LLP
Leadis Technology            Appeals (Ninth                      the Securities Act of 1933 is subject to the heightened pleading        333 South Grand
                             Circuit)                            requirements of Fed. R. Civ. P. 9(b).                                   Avenue
                                                                                                                                         Los Angeles, CA 90071
                                                                                                                                         John E. Schreiber
                                                                                                                                         Dewey & LeBoeuf LLP
                                                                                                                                         1101 New York
                                                                                                                                         Avenue, NW
                                                                                                                                         Washington, DC 20005
                                                                                                                                         Lyle Roberts




                                                                                                                                                                             18 of 72
                                                                         SIFMA Amicus Brief Program                                                              Contact Kevin Carroll
                                                                                                                                                                   kcarroll@sifma.org
                                                                                                                                                                        202.962.7382


        Case Name                     Court           Date Filed                              Amicus Issue                                 Counsel of Record
In re Enron Creditors           U.S. Bankruptcy         6-May-08   Whether Enron may avoid and recover, as preferences or fraudulent      Allen & Overy LLP
Recovery Corp.                  Court (S.D. NY)                    conveyances, various pre-petition payments made by Enron in            1221 Avenue of the
                                                                   connection with the repurchase, prior to maturity, of certain of       Americas
                                                                   Enron’s outstanding commercial paper in the period preceding           New York, NY 10020
                                                                   Enron’s voluntary petition for relief under Chapter 11 of the          Joshua Cohn
                                                                   Bankruptcy Code.
In re Bear Stearns Litigation   Supreme Court of        5-May-08   Whether an injunction designed to prevent the merger of JP Morgan      Willkie Farr &
                                the State of New                   and Bear Stearns would harm the public interest because a collapse     Gallagher LLP
                                York, County of New                of Bear Stearns would have severe negative consequences for the        787 Seventh Avenue
                                York                               nation’s financial markets and the economy as a whole.                 New York, NY 10019
                                                                                                                                          Tariq Mundiya
                                                                                                                                          Benjamin P. McCallen
                                                                                                                                          Willkie Farr &
                                                                                                                                          Gallagher LLP
                                                                                                                                          1875 K Street, NW
                                                                                                                                          Washington, DC 20006
                                                                                                                                          Richard D. Bernstein

Massachusetts v. Fremont        Appeals Court,         26-Mar-08   Whether subprime adjustable rate mortgage loans whose financing        Thacher Proffitt &
                                Commonwealth of                    terms and conditions, documentation, disclosure, securitization, and   Wood LLP
                                Massachusetts                      sale were all plainly permitted under state and federal law may        Two World Financial
                                                                   nevertheless be found to be violative of a Massachusetts consumer      Center
                                                                   protection statute.                                                    New York, NY 10281
                                                                                                                                          Richard F. Hans
                                                                                                                                          John P. Doherty
                                                                                                                                          Neil T. Bloomfield
Pachter v. Bernard Hodes        Court of Appeals,       7-Mar-08   Whether, in the absence of a governing agreement, commissions are      Morgan, Lewis &
Group                           State of New York                  “earned” and therefore considered “wages” under sections 191 and       Bockius LLP
                                                                   193, thereby rendering most subsequent deductions unlawful.            101 Park Avenue
                                                                                                                                          New York, NY 10178
                                                                                                                                          Samuel S. Shaulson




                                                                                                                                                                             19 of 72
                                                                    SIFMA Amicus Brief Program                                                                Contact Kevin Carroll
                                                                                                                                                                kcarroll@sifma.org
                                                                                                                                                                     202.962.7382


        Case Name                Court          Date Filed                               Amicus Issue                                 Counsel of Record
American Isuzu Motors v.   U.S. Supreme Court    11-Feb-08    Whether financial services firms, by engaging in their ordinary        Simpson Thacher &
Ntsebeza, Digwamaje,                                          business in South Africa, in a manner consistent with applicable law   Bartlett LLP
Khulamani, et al.                                             and encouraged by their home countries pursuant to policies of         425 Lexington Avenue
                                                              constructive economic engagement, aided and abetted the apartheid      New York, NY 11215
                                                              regime in violation of the Alien Tort Statute.                         Thomas C. Rice
                                                                                                                                     Mary Elizabeth
                                                                                                                                     McGarry
                                                                                                                                     Agnes Dunogue




U.S. v. Stein              U.S. Court of          22-Jan-08   Whether the Department of Justice’s now-repudiated policy of taking    Clifford Chance US LLP
                           Appeals (Second                    a firm’s advancement of attorneys’ fees into account in deciding       31 West 52nd Street
                           Circuit)                           whether the firm adequately cooperated with a criminal investigation   New York, NY 10019
                                                              wrongfully interfered with employees’ lawful access to independent
                                                              legal advice, and improperly undermined employers’ well-established    Mark A. Kirsch
                                                              right to advance fees to individuals who face legal jeopardy as a      Kara Morrow
                                                              result of doing their jobs.                                            Tamar Bruger
                                                                                                                                     Clifford Chance US LLP
                                                                                                                                     2001 K Street NW
                                                                                                                                     Washington, DC 20006

                                                                                                                                     Stephen M.
                                                                                                                                     Nickelsburg



American Home Mortgage     U.S. Bankruptcy        12-Oct-07   Whether and the extent to which a mortgage loan master repurchase      Teitelbaum & Baskin,
v. CSFB                    Court (D. Del.)                    agreement, inclusive of the mortgage servicing provisions, is a        LLP
                                                              “repurchase agreement” as defined in §101(47) of the Bankruptcy        3 Barker Avenue
                                                              Code and therefore, covered by the safe harbor provisions of           Third Floor
                                                              Bankruptcy Code §559.                                                  White Plains, NY
                                                                                                                                     10601
                                                                                                                                     Jay Teitelbaum
                                                                                                                                     Ron Baskin

                                                                                                                                                                          20 of 72
                                                                           SIFMA Amicus Brief Program                                                               Contact Kevin Carroll
                                                                                                                                                                      kcarroll@sifma.org
                                                                                                                                                                           202.962.7382


        Case Name                     Court             Date Filed                              Amicus Issue                                 Counsel of Record
                                 Appendix A to Motion
Strand v. Escambia County, FL / Florida Supreme          17-Sep-07   Whether bonds payable through tax increment financing (TIFs), and      Edwards Angell Palmer
                                Court                                certain other obligations payable from ad valorem taxes, such as       & Dodge LLP One
                                                                     certificates of participation (COPs), are subject to the referendum    North Clematis Street
                                                                     requirements of article VII, section 12, of Florida’s Constitution.    Suite 400
                                                                                                                                            West Palm Beach, FL
                                                                                                                                            33401
                                                                                                                                            Elaine Johnson James
                                                                                                                                            Richard J. Miller
                                                                                                                                            Mark-David Adams
                                                                                                                                            Christine Senne


Stoneridge v. Scientific       U.S. Supreme Court        15-Aug-07   Whether conduct by secondary actors may give rise to primary           O’Melveny & Myers
–Atlanta and Motorola                                                liability under Section 10(b) of the 1934 Act and Rule 10b-5 under a   LLP
                                                                     “scheme to defraud” liability theory.                                  1625 Eye Street, N.W.
                                                                                                                                            Washington, DC 20006
                                                                                                                                            Walter Dellinger
                                                                                                                                            O’Melveny & Myers
                                                                                                                                            LLP
                                                                                                                                            7 Times Square
                                                                                                                                            New York, NY 10036
                                                                                                                                            Jonathan Rosenberg
                                                                                                                                            William J. Sushon
                                                                                                                                            B. Andrew Bednark

In re Musicland                U.S. Bankruptcy            7-Aug-07   Whether Rule 2019(a) of the Federal Rules of Bankruptcy Procedure      Wilmer Cutler
                               Court (S.D. NY)                       applies to the members of ad hoc committees, who represent only        Pickering Hale and
                                                                     their own interests and who are not fiduciaries for other              Dorr LLP
                                                                     stakeholders, such that they would be forced to disclose highly        399 Park Avenue
                                                                     confidential and proprietary information.                              New York, NY 10022
                                                                                                                                            Andrew N. Goldman
                                                                                                                                            James H. Millar




                                                                                                                                                                                21 of 72
                                                                       SIFMA Amicus Brief Program                                                                  Contact Kevin Carroll
                                                                                                                                                                     kcarroll@sifma.org
                                                                                                                                                                          202.962.7382


       Case Name                   Court           Date Filed                                Amicus Issue                                   Counsel of Record
Kentucky v. Davis            U.S. Supreme Court      19-Jul-07   Whether Kentucky’s income tax scheme violates the Commerce                Sidley Austin LLP
                                                                 Clause of the U.S. Constitution because it exempts from tax the           1501 K Street, NW
                                                                 interest earned by its residents on in-state municipal bonds, but taxes   Washington, DC 20005
                                                                 the interest earned by its residents on out-of-state municipal bonds.     Carter Phillips
                                                                                                                                           Richard D. Bernstein
                                                                                                                                           Sidley Austin LLP
                                                                                                                                           787 Seventh Avenue
                                                                                                                                           New York, NY 10019
                                                                                                                                           A. Robert Pietrzak
                                                                                                                                           Nicholas P. Crowell
                                                                                                                                           Daniel A. McLaughlin
                                                                                                                                           Catherine B. Winter

UBS Financial Services and   Supreme Court of        16-Jul-07   Whether NASD arbitrators have power to recommend expungement              Bingham McCutchen
Kurrasch v. Gibson           the State of New                    of CRD records pursuant to NASD Rule 2130 in light of the State of        LLP
                             York, County of New                 New York’s alleged property interest in those records, and state          2020 K Street, NW
                             York                                recordkeeping regulations.                                                Washington, DC 20006
                                                                                                                                           Paul J. Lambert
                                                                                                                                           Marie K.N. DeBonis

National Australia Bank      U.S. Court of           12-Jul-07   Whether foreign plaintiffs may sue foreign companies for foreign          Cleary Gottlieb Steen
                             Appeals (Second                     conduct under U.S. securities laws.                                       & Hamilton LLP
                             Circuit)                                                                                                      One Liberty Plaza
                                                                                                                                           New York, NY 10006
                                                                                                                                           Deborah M. Buell
                                                                                                                                           Giovanni P. Prezioso
                                                                                                                                           Andrew A. Bernstein
                                                                                                                                           David H. Herrington
                                                                                                                                           Anna A. Makanju


Mary Ellen Kay v. Loretta    Supreme Court of        13-Jun-07   Whether NASD arbitrators have power to recommend expungement              Bingham McCutchen
Abrams                       the State of New                    of CRD records pursuant to NASD Rule 2130 in light of the State of        LLP
                             York, County of New                 New York’s alleged property interest in those records, and state          2020 K Street, NW
                             York                                recordkeeping regulations.                                                Washington, DC 20006
                                                                                                                                           Paul J. Lambert
                                                                                                                                           Marie K.N. DeBonis




                                                                                                                                                                               22 of 72
                                                                      SIFMA Amicus Brief Program                                                                  Contact Kevin Carroll
                                                                                                                                                                    kcarroll@sifma.org
                                                                                                                                                                         202.962.7382


        Case Name                  Court          Date Filed                                Amicus Issue                                   Counsel of Record
In re Le-Nature’s Inc.      U.S. Bankruptcy         12-Jun-07   Whether Rule 2019(a) of the Federal Rules of Bankruptcy Procedure         Wilmer Cutler
                            Court (W.D.PA)                      applies to the members of ad hoc committees, who represent only           Pickering Hale and
                                                                their own interests and who are not fiduciaries for other                 Dorr LLP
                                                                stakeholders, such that they would be forced to disclose highly           399 Park Avenue
                                                                confidential and proprietary information.                                 New York, NY 10022
                                                                                                                                          Andrew N. Goldman
                                                                                                                                          James H. Millar
                                                                                                                                          Michael Snyder
FIA Card Services, fka      U.S. Supreme Court      8-May-07    Whether West Virginia may impose income and franchise taxes on a          Sullivan & Cromwell
MBNA America Bank v. Tax                                        bank with no physical presence in West Virginia.                          LLP
Commissioner of the State                                                                                                                 125 Broad Street
of West Virginia                                                                                                                          New York, NY 10004
                                                                                                                                          Richard J. Urowsky




Gredd v. Bear, Stearns      U.S. District Court     7-May-07    Whether deposits into a customer’s own account with a securities          Dickstein Shapiro LLP
Securities Corp.            (S.D.N.Y.)                          broker are voidable under the Bankruptcy Code as fraudulent               1825 Eye Street, NW
                                                                transfers, and whether a financial institution that credits deposits to   Washington, DC 20006
                                                                an accountholder thereby becomes an “initial transferee” of those         Howard Schiffman
                                                                deposits.                                                                 Eric A. Bensky


In re Scotia Pacific        U.S. Bankruptcy          9-Apr-07   Whether Rule 2019(a) of the Federal Rules of Bankruptcy Procedure         Milbank, Tweed,
                            Court (S.D. TX)                     applies to the members of ad hoc committees, who represent only           Hadley & McCloy LLP
                                                                their own interests and who are not fiduciaries for other                 1 Chase Manhattan
                                                                stakeholders, such that they would be forced to disclose highly           Plaza
                                                                confidential and proprietary information.                                 New York, NY 10005
                                                                                                                                          Matthew S. Barr
                                                                                                                                          Peter K. Newman
Ohio v. New Century         Court of Common        28-Mar-07    Whether an injunction imposed by a State on a finance company may         Squire, Sanders &
Financial                   Pleas, Cuyahoga                     include provisions that restrict or delay the company's ability to        Dempsey L.L.P.
                            County, Ohio                        service and foreclose on delinquent mortgage loans or create an           4900 Key Tower
                                                                administrative oversight function pursuant to which the State or its      127 Public Square
                                                                designee will assist in determining whether, when and how                 Cleveland, OH 44114
                                                                delinquent loans will be serviced and foreclosed.                         Martha S. Sullivan
                                                                                                                                          Heather L. Tonsing




                                                                                                                                                                              23 of 72
                                                                     SIFMA Amicus Brief Program                                                                   Contact Kevin Carroll
                                                                                                                                                                    kcarroll@sifma.org
                                                                                                                                                                         202.962.7382


       Case Name                   Court          Date Filed                               Amicus Issue                                  Counsel of Record
In re Seagate Technology,   U.S. Court of          21-Mar-07   Whether, once notice arises of another’s patent rights, an accused       Dilworth Paxson LLP
LLC                         Appeals (Federal                   infringer should bear the burden and cost to retain a competent legal    3200 Mellon Bank
                            Circuit)                           opinion to provide a basis for reasonable reliance on the advice of      Center
                                                               counsel as a defense to willful patent infringement.                     1735 Market Street
                                                                                                                                        Philadelphia PA 19103
                                                                                                                                        Thomas S. Beimer
                                                                                                                                        Philip J. Foret

Hadacheck v. UBS            U.S. Court of          20-Mar-07   Whether the Federal Arbitration Act permits state law to hold            Munger, Tolles &
                            Appeals (Ninth                     unenforceable an otherwise-valid arbitration agreement simply            Olson LLP
                            Circuit)                           because one party did not specifically call the arbitration clause to    355 S. Grand Avenue,
                                                               the other’s attention.                                                   35th Floor Los Angeles,
                                                                                                                                        CA 90071
                                                                                                                                        George M. Garvey
                                                                                                                                        Daniel L. Geyser

In re Northwest Airlines    U.S. Bankruptcy        15-Mar-07   Whether Rule 2019(a) of the Federal Rules of Bankruptcy Procedure        Milbank, Tweed,
                            Court (S.D. NY)                    requires members of ad hoc committees and other entities acting as       Hadley & McCloy LLP
                                                               groups in Chapter 11 cases to file with the court a verified statement   1 Chase Manhattan
                                                               disclosing, among other things, “the amounts of claims or interest       Plaza
                                                               owned by…the members of the committee…the times when                     New York, NY 10005
                                                               acquired, the amounts paid therefore, and any sales or other             Matthew S. Barr
                                                               dispositions thereof.”                                                   Peter K. Newman
In re Enron Corp.           U.S. District Court    12-Mar-07   Whether equitable subordination under Section 510(c) and                 Wilmer Cutler
                            (S.D.N.Y.)                         disallowance under Section 502(d) can be applied, as a matter of law,    Pickering Hale and
                                                               to claims held by a transferee to the same extent they would be          Dorr LLP
                                                               applied if such claims were still held by the transferor.                1875 Pennsylvania
                                                                                                                                        Avenue, NW
                                                                                                                                        Washington, DC 20006
                                                                                                                                        Seth P. Waxman
                                                                                                                                        Louis R. Cohen
                                                                                                                                        Craig Goldblatt
                                                                                                                                        Joel Millar
                                                                                                                                        Amy Oberdorfer
                                                                                                                                        Nyberg
                                                                                                                                        399 Park Ave
                                                                                                                                        New York, NY 10022
                                                                                                                                        James H. Millar




                                                                                                                                                                              24 of 72
                                                                       SIFMA Amicus Brief Program                                                                  Contact Kevin Carroll
                                                                                                                                                                     kcarroll@sifma.org
                                                                                                                                                                          202.962.7382


       Case Name                      Court        Date Filed                                Amicus Issue                                  Counsel of Record
Millowitz v. Citigroup         U.S. Court of         30-Jan-07   Whether the rationale for applying the “fraud on the market”             Mayer, Brown, Rowe
Global Markets                 Appeals (Second                   doctrine to issuer misstatements also applies to research analyst        & Maw LLP
                               Circuit)                          reports, and whether the Court should extend the Basic v. Levinson ,     1909 K Street, NW
                                                                 485 U.S. 228 (1988), presumption of reliance to research analyst         Washington, DC 20006
                                                                 reports, thereby subjecting research analysts and their firms to suits   Andrew J. Pincus
                                                                 by large classes of investors, many of whom may not have been            Miriam R. Nemetz
                                                                 aware of the analyst’s opinions.
                                                                                                                                          71 South Wacker Drive
                                                                                                                                          Chicago, IL 60606
                                                                                                                                          Stephen M. Shapiro
                                                                                                                                          Timothy S. Bishop

Teamsters Local 445 v.         U.S. Court of         17-Jan-07   Whether plaintiffs bringing claims for securities fraud may allege       Sidley Austin LLP
Dynex Capital                  Appeals (Second                   scienter on the part of a corporate defendant (corporate/collective      1501 K Street, NW
                               Circuit)                          scienter) without pleading scienter against any particular employee,     Washington, DC 20005
                                                                 where management made public statements contradicted by facts            Carter G. Phillips
                                                                 known only to lower-level employees.                                     Richard D. Bernstein

                                                                                                                                          787 Seventh Avenue
                                                                                                                                          New York, NY 10019
                                                                                                                                          A. Robert Pietrzak
                                                                                                                                          Daniel A. McLaughlin


Regents of the University of   U.S. Court of        13-Dec-06    Whether conduct by secondary actors may give rise to primary             Irell & Manella LLP
California v. Credit Suisse    Appeals (Fifth                    liability under Section 10(b) of the 1934 Act and Rule 10b-5             1800 Avenue of the
First Boston                   Circuit)                          thereunder.                                                              Stars
                                                                                                                                          Suite 900
                                                                                                                                          Los Angeles, CA 90067
                                                                                                                                          David Siegel
                                                                                                                                          Laura W. Brill
                                                                                                                                          Jonathan P. Steinsapir


Rosenberg v. Metlife           Court of Appeals,     7-Dec-06    Whether a firm that files a Form U5 enjoys absolute or qualified         Orrick, Herrington &
                               State of New York                 immunity from defamation suits arising out of statements made on         Sutcliffe LLP
                                                                 the form.                                                                666 Fifth Ave.
                                                                                                                                          New York, NY 10103
                                                                                                                                          Michael Delikat
                                                                                                                                          Robert S. Whitman



                                                                                                                                                                               25 of 72
                                                                          SIFMA Amicus Brief Program                                                                    Contact Kevin Carroll
                                                                                                                                                                          kcarroll@sifma.org
                                                                                                                                                                               202.962.7382


        Case Name                      Court          Date Filed                                Amicus Issue                                     Counsel of Record
Tellabs v. Makor Issues &       U.S. Supreme Court      6-Dec-06    Whether the 7th Circuit’s “could infer” test satisfies the Private          Mayer, Brown, Rowe
Rights                                                              Securities Litigation Reform Act’s heightened pleading standard             & Maw LLP
                                                                    which requires plaintiffs bringing claims for securities fraud to plead     71 South Wacker Drive
                                                                    “with particularity” facts that give rise to a “strong inference” of        Chicago, IL 60606
                                                                    scienter.                                                                   Stephen M. Shapiro
                                                                                                                                                Timothy S. Bishop
                                                                                                                                                Mayer, Brown, Rowe
                                                                                                                                                & Maw LLP
                                                                                                                                                700 Louisiana Street
                                                                                                                                                Houston, TX 77002
                                                                                                                                                J. Brett Busby
In re Enron Corp. Securities,   U.S. Court of           26-Jul-06   Whether an implied cause of action exist under Section 10(b) and            Irell & Manella LLP
Derivative and ERISA            Appeals (Fifth                      Rule 10b-5 against a secondary actor such as a bank, which has made         1800 Avenue of the
litigation                      Circuit)                            no misrepresentations and has no duty of public disclosure, on the          Stars Suite 900
                                                                    purported ground that such secondary actors engaged in transactions         Los Angeles, CA 90067
                                                                    with an issuer of securities, which the issuer later misreported.           David Siegel
                                                                                                                                                Laura W. Brill

Financial Security              U.S. Court of           21-Jun-06   Whether a financial guaranty insurer has standing to assert a claim         Morgan, Lewis &
Assurance v. Stephens           Appeals (Eleventh                   under Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C        Bockius LLP
                                Circuit)                            §78j(b) and Rule 10b-5, 17 C.F.R. §240.10b-5, as a “purchaser” of the       101 Park Avenue
                                                                    bonds it has insured.                                                       New York, NY 10178
                                                                                                                                                John M. Vassos
                                                                                                                                                Jeffrey D. Brooks
United States v. Stein /        U.S. District Court     4-May-06    Whether the Department of Justice Internal Policy Guidelines for            Wilmer Cutler
Supplemental Brief              (S.D.N.Y.)                          charging corporations (the “Thompson Memorandum”), which treats             Pickering Hale and
                                                                    “a corporation’s promise of support to culpable employees and               Dorr LLP
                                                                    agents … through the advancing of attorneys fees” as a potential            1875 Pennsylvania
                                                                    basis for finding that the corporation itself has failed to “cooperat[e]”   Avenue, NW
                                                                    with a government investigation, violates key criminal justice              Washington DC 20006
                                                                    principles, and threatens the integrity of the employment                   Howard M. Shapiro
                                                                    relationship and efficient corporate operations.                            William R. McLucas
                                                                                                                                                Johnathan E.
                                                                                                                                                Nuechterlein
                                                                                                                                                Christopher Davies




                                                                                                                                                                                    26 of 72
                                                                    SIFMA Amicus Brief Program                                                                Contact Kevin Carroll
                                                                                                                                                                kcarroll@sifma.org
                                                                                                                                                                     202.962.7382


        Case Name                Court          Date Filed                                Amicus Issue                                  Counsel of Record
Credit Suisse v. Billing   U.S. Supreme Court     16-Apr-06   Whether federal antitrust laws are impliedly repealed as to the          Robbins, Russell,
                                                              conduct of underwriters in initial public offerings (IPOs) such that     Englert, Orseck &
                                                              underwriters are immune from lawsuits brought under the federal          Untereiner LLP
                                                              antitrust laws involving the pricing of IPOs.                            1801 K Street, NW
                                                                                                                                       Suite 411
                                                                                                                                       Washington DC 20006
                                                                                                                                       Roy T. Englert Jr.
                                                                                                                                       Gary A. Orseck
                                                                                                                                       Daniel R. Walfish
                                                                                                                                       Matthew R. Segal
Kircher v. Putnam Funds    U.S. Supreme Court    28-Mar-06    Whether the court of appeals properly exercised appellate                Sidley Austin LLP
                                                              jurisdiction to review the district court’s remand order, when the       1501 K Street, NW
                                                              remand order was the result of a substantive decision rejecting a        Washington DC 20005
                                                              federal statutory preemption defense to certain securities fraud class   Carter G. Phillips
                                                              actions available under the Securities Litigation Uniform Standards      Richard D. Bernstein
                                                              Act of 1998 (SLUSA).                                                     Ruthanne M. Deutsch


eBay and Half.com v.       U.S. Supreme Court     26-Jan-06   Whether the Federal Circuit erred in setting forth a general rule in     Bingham McCutchen
MercExchange                                                  patent cases that a district court must issue a permanent injunction     LLP
                                                              upon a finding of infringement, absent exceptional circumstances.        Three Embarcadero
                                                                                                                                       Center
                                                                                                                                       San Francisco, CA
                                                                                                                                       94111
                                                                                                                                       W. Hardy Callcott
                                                                                                                                       Monty Agarwal
                                                                                                                                       Todd Pickles
In re Enron Corp.          U.S. Bankruptcy        19-Jan-06   Whether, under Section 510(c) of the Bankruptcy Code, a court may        Wilmer Cutler
                           Court (S.D. NY)                    subordinate the claim of an innocent purchaser of a bankruptcy claim     Pickering Hale and
                                                              for value and without notice of any wrongdoing by a previous holder,     Dorr LLP
                                                              if the seller or previous holder committed an unrelated bad act          2445 M Street, NW
                                                              against the debtor or its creditors.                                     Washington, DC 20037
                                                                                                                                       Louis R. Cohen
                                                                                                                                       Craig Goldblatt
                                                                                                                                       Wilmer Cutler
                                                                                                                                       Pickering Hale and
                                                                                                                                       Dorr LLP
                                                                                                                                       399 Park Avenue
                                                                                                                                       New York, NY 10022
                                                                                                                                       James H. Millar



                                                                                                                                                                          27 of 72
                                                                     SIFMA Amicus Brief Program                                                                  Contact Kevin Carroll
                                                                                                                                                                   kcarroll@sifma.org
                                                                                                                                                                        202.962.7382


       Case Name                   Court         Date Filed                                Amicus Issue                                   Counsel of Record
Quaak v. Dexia              U.S. Court of          11-Jan-06   Whether conduct by secondary actors may give rise to primary              Sullivan & Cromwell
                            Appeals (First                     liability under Section 10(b) and Rule 10b-5 after the Supreme Court’s    LLP
                            Circuit)                           decision in Central Bank of Denver v. First Interstate Bank of Denver ,   125 Broad Street
                                                               511 U.S. 164 (1994).                                                      New York, NY 10004
                                                                                                                                         David H. Braff
                                                                                                                                         Michael T. Tomaino,
                                                                                                                                         Jr.
                                                                                                                                         Jeffrey T. Scott
Superadio v. Walt “Baby”    Commonwealth of       30-Nov-05    Whether a lawyer licensed to practice and in good standing in             Bingham McCutchen
Love Productions            Massachusetts,                     another U.S. jurisdiction engages in the unauthorized practice of law     LLP
                            Supreme Judicial                   by appearing in arbitration proceedings held in Massachusetts.            150 Federal Street
                            Court                                                                                                        Boston, MA 02110
                                                                                                                                         Timothy P. Burke
                                                                                                                                         Matthew C.
                                                                                                                                         Applebaum
Pierce County v. State of   Supreme Court of      17-Nov-05    Whether Initiative No. I-776, which repealed certain taxes and fees       Koegen Edwards LLP
Washington                  the State of                       that were pledged as security to repay municipal bonds, violates          1001 Fourth Avenue
                            Washington                         Article I, Section 23, of the Washington State Constitution as it         Suite 2580
                                                               applies to those municipal bonds.                                         Seattle, WA 98154
                                                                                                                                         Roy J. Koegan
                                                                                                                                         Mary J. Edwards
                                                                                                                                         Rodney J. Wendt
Merrill Lynch v. Dabit      U.S. Supreme Court    14-Nov-05    Whether the preemption provision of the Securities Litigation             Sidley Austin Brown &
                                                               Uniform Standards Act (SLUSA), which bars class actions based upon        Wood LLP
                                                               state law that allege “a misrepresentation or omission of a material      1501 K Street, NW
                                                               fact in connection with the purchase or sale of a covered security,”      Washington DC 20005
                                                               applies to securities class actions by persons who allege they held       Carter G. Phillips
                                                               securities in reliance upon a misrepresentation or omission about a       Richard D. Bernstein
                                                               covered security.                                                         April E. Fearnley

Enron Corp. v. UBS          U.S. Bankruptcy       23-Sep-05    Whether certain pre-petition payments made in connection with             Wilmer Cutler
                            Court (S.D. NY)                    certain over-the-counter equity derivatives transactions may be           Pickering Hale and
                                                               avoided and recovered, as preferences and/or fraudulent                   Dorr LLP
                                                               conveyances, consistent with the safe harbor provisions set forth in      2445 M Street, NW
                                                               Sections 546(e) and (g) of the Bankruptcy Code.                           Washington, DC 20037
                                                                                                                                         William J. Perlstein
                                                                                                                                         Craig Goldblatt
                                                                                                                                         Johnathan E. Paikin
                                                                                                                                         Caroline Rogus




                                                                                                                                                                             28 of 72
                                                                        SIFMA Amicus Brief Program                                                                    Contact Kevin Carroll
                                                                                                                                                                        kcarroll@sifma.org
                                                                                                                                                                             202.962.7382


       Case Name                     Court          Date Filed                                 Amicus Issue                                    Counsel of Record
Enron Corp. v. Credit Suisse   U.S. Bankruptcy       21-Sep-05    Whether certain pre-petition payments made in connection with               Wilmer Cutler
First Boston                   Court (S.D. NY)                    certain over-the-counter equity derivatives transactions may be             Pickering Hale and
                                                                  avoided and recovered, as preferences and/or fraudulent                     Dorr LLP
                                                                  conveyances, consistent with the safe harbor provisions set forth in        2445 M Street, NW
                                                                  Sections 546(e) and (g) of the Bankruptcy Code.                             Washington, DC 20037
                                                                                                                                              William J. Perlstein
                                                                                                                                              Craig Goldblatt
                                                                                                                                              Johnathan E. Paikin
                                                                                                                                              Caroline Rogus
Enron Corp. v. Lehman          U.S. Bankruptcy       21-Sep-05    Whether certain pre-petition payments made in connection with               Wilmer Cutler
Brothers                       Court (S.D. NY)                    certain over-the-counter equity derivatives transactions may be             Pickering Hale and
                                                                  avoided and recovered, as preferences and/or fraudulent                     Dorr LLP
                                                                  conveyances, consistent with the safe harbor provisions set forth in        2445 M Street, NW
                                                                  Sections 546(e) and (g) of the Bankruptcy Code.                             Washington, DC 20037
                                                                                                                                              William J. Perlstein
                                                                                                                                              Craig Goldblatt
                                                                                                                                              Johnathan E. Paikin
                                                                                                                                              Caroline Rogus
Enron Corp. v. Bear Stearns    U.S. Bankruptcy         5-Jul-05   Whether pre-petition payments made in connection with certain               Wilmer Cutler
                               Court (S.D. NY)                    over-the-counter equity derivatives transactions may be avoided and         Pickering Hale and
                                                                  recovered, as preferences and/or fraudulent conveyances, consistent         Dorr LLP
                                                                  with the safe harbor provisions set forth in Sections 546(e) and (g) of     2445 M Street, NW
                                                                  the Bankruptcy Code.                                                        Washington DC 20037
                                                                                                                                              William J. Perlstein
                                                                                                                                              Craig Goldblatt
                                                                                                                                              Johnathan E. Paikin
                                                                                                                                              Caroline Rogus
Merrill Lynch v. Dabit         U.S. Supreme Court    16-May-05    Whether the preemption provision of the Securities Litigation               Sidley Austin Brown &
                                                                  Uniform Standards Act (SLUSA) applies to state-law class actions by         Wood LLP
                                                                  securities holders who claim that they refrained from selling               1501 K Street, NW
                                                                  securities in reliance on a misrepresentation.                              Washington, DC 20005
                                                                                                                                              Carter G. Phillips
                                                                                                                                              Richard D. Bernstein
                                                                                                                                              April E. Fearnley

Demarco v. Robertson           U.S. Court of         15-Feb-05    Whether plaintiffs satisfied the class action certification standard in a   Mayer, Brown, Rowe
Stephens                       Appeals (Second                    research analyst case.                                                      & Maw LLP
                               Circuit)                                                                                                       190 S. Lasalle Street
                                                                                                                                              Chicago, IL 60603
                                                                                                                                              Stephen M. Shapiro
                                                                                                                                              Timothy S. Bishop
                                                                                                                                                                                  29 of 72
                                                                      SIFMA Amicus Brief Program                                                                       Contact Kevin Carroll
                                                                                                                                                                         kcarroll@sifma.org
                                                                                                                                                                              202.962.7382


       Case Name                   Court          Date Filed                                 Amicus Issue                                      Counsel of Record
Simpson v. Homestore.com    U.S. Court of          21-Dec-04    Whether conduct by secondary actors may give rise to primary                  Sullivan & Cromwell
                            Appeals (Ninth                      liability under Section 10(b) and Rule 10b-5 after the Supreme Court’s        LLP         125 Broad
                            Circuit)                            decision in Central Bank of Denver v. First Interstate Bank of Denver ,       Street
                                                                511 U.S. 164 (1994).                                                          New York, NY 10004
                                                                                                                                              David H. Braff
In re Worldcom Securities   U.S. District Court      1-Oct-04   Whether an underwriter should be required to perform the same due             Davis Polk & Wardwell
Litigation                  (S.D.N.Y.)                          diligence for a shelf offering as it would for an offering involving a pre-   450 Lexington Avenue
                                                                effective waiting period.                                                     New York, NY 10017
                                                                                                                                              Robert F. Wise, Jr.


Dura Pharmaceuticals v.     U.S. Supreme Court     13-Sep-04    Whether a plaintiff bringing a civil claim under Section 10(b) of the         Sidley Austin Brown &
Broudo                                                          Securities Exchange Act of 1934 and SEC Rule 10b-5 need only allege           Wood LLP
                                                                and show that he paid an inflated price for the security because of a         1501 K Street, NW
                                                                misrepresentation, or must also allege and show that revelation of            Washington, DC 20005
                                                                the misrepresentation or omission caused a decline in price.                  Carter G. Phillips
                                                                                                                                              Richard D. Bernstein
                                                                                                                                              Jacqueline G. Cooper
                                                                                                                                              Richard H. Menard Jr.



American Bankers            U.S. Court of           9-Aug-04    Whether the provisions of California’s Financial Information Privacy          Alston & Bird LLP
Association v. Lockyer      Appeals (Ninth                      Act that regulate the sharing of information with affiliates are              601 Pennsylvania Ave.,
                            Circuit)                            preempted by the federal Fair Credit Reporting Act and its 2003               NW Washington, DC
                                                                amendments.                                                                   20004
                                                                                                                                              Thomas M. Boyd
                                                                                                                                              Jonathan V. Gould
                                                                                                                                              Alston & Bird LLP
                                                                                                                                              1201 W. Peachtree St.
                                                                                                                                              Atlanta, GA 30309
                                                                                                                                              William H. Jordan
                                                                                                                                              Matthew D.
                                                                                                                                              Richardson




                                                                                                                                                                                   30 of 72
                                                                     SIFMA Amicus Brief Program                                                                    Contact Kevin Carroll
                                                                                                                                                                     kcarroll@sifma.org
                                                                                                                                                                          202.962.7382


        Case Name                   Court        Date Filed                                Amicus Issue                                   Counsel of Record
Jevne v. Superior Court of   Supreme Court of      21-Jul-04   Whether California’s arbitration standards are preempted by federal       Munger, Tolles &
Los Angeles County           the State of                      law.                                                                      Olson LLP Munger,
                             California                                                                                                  Tolles & Olson LLP
                                                                                                                                         355 South Grand Ave.,
                                                                                                                                         35 th Fl.
                                                                                                                                         Los Angeles, CA 90071-
                                                                                                                                         1560
                                                                                                                                         Marc T.G. Dworsky
                                                                                                                                         Paul J. Watford
                                                                                                                                         Anne M. Voigts
EBCI, f/k/a eToys v.         Court of Appeals,      9-Jul-04   Whether an underwriter owes a fiduciary duty to an issuer with            Cleary, Gottlieb, Steen
Goldman Sachs                State of New York                 respect to the price of an initial public offering (IPO).                 & Hamilton Cleary,
                                                                                                                                         Gottlieb, Steen &
                                                                                                                                         Hamilton
                                                                                                                                         One Liberty Plaza
                                                                                                                                         New York, NY 10006
                                                                                                                                         Mitchell A. Lowenthal
                                                                                                                                         Lewis J. Liman
                                                                                                                                         David H. Herrington
                                                                                                                                         Nancy I. Ruskin
                                                                                                                                         Stuart N. Mast
                                                                                                                                         Amy Chung
EBCI, f/k/a eToys. v.        Supreme Court of       9-Jul-04   Whether an underwriter owes a fiduciary duty to an issuer with            Cleary, Gottlieb, Steen
Goldman Sachs                the State of New                  respect to the price of an initial public offering (IPO).                 & Hamilton Cleary,
                             York, Appellate                                                                                             Gottlieb, Steen &
                             Division                                                                                                    Hamilton
                                                                                                                                         One Liberty Plaza
                                                                                                                                         New York, NY 10006
                                                                                                                                         Mitchell A. Lowenthal
                                                                                                                                         Lewis J. Liman
                                                                                                                                         David H. Herrington
                                                                                                                                         Nancy I. Ruskin
                                                                                                                                         Stuart N. Mast
                                                                                                                                         Amy Chung
Royal Indemnity Company      U.S. Court of          2-Jun-04   Whether Royal Indemnity Company failed to honor its payment               Sidley Austin Brown &
v. MBIA Insurance            Appeals (Third                    obligations in a timely manner under certain insurance policies that it   Wood LLP
                             Circuit)                          issued insuring the payment of principal and interest in the event of a   10 S. Dearborn Street
                                                               default on certain, specified student loans.                              Chicago, IL 60603
                                                                                                                                         Robert D. Aicher
                                                                                                                                         T.K. Khan


                                                                                                                                                                               31 of 72
                                                                   SIFMA Amicus Brief Program                                                                      Contact Kevin Carroll
                                                                                                                                                                     kcarroll@sifma.org
                                                                                                                                                                          202.962.7382


       Case Name                Court          Date Filed                                 Amicus Issue                                    Counsel of Record
Hevesi v. Citigroup       U.S. Court of         23-Mar-04    Whether plaintiffs satisfied the class action certification standard in a   Mayer, Brown, Rowe
                          Appeals (Second                    research analyst case.                                                      & Maw LLP
                          Circuit)                                                                                                       190 S. LaSalle Street
                                                                                                                                         Chicago, IL 60603
                                                                                                                                         Stephen M. Shapiro
                                                                                                                                         Timothy S. Bishop
In re Enron Corp.         U.S. Bankruptcy       17-Mar-04    Whether payment made under over-the-counter (OTC) equity                    Wilmer Cutler
                          Court (S.D. NY)                    derivatives contracts are protected by Sections 546(e) and (g) of the       Pickering LLP
                                                             Bankruptcy Code from preference and fraudulent conveyance                   2445 M Street, NW
                                                             actions.                                                                    Washington, DC 20037
                                                                                                                                         William J. Perlstein
                                                                                                                                         Craig Goldblatt
                                                                                                                                         Jonathan E. Paikin
                                                                                                                                         Caroline Rogus
In re Enron Corp.         U.S. Bankruptcy       17-Mar-04    Whether Enron’s repurchase of its commercial paper qualifies as             Allen & Overy
                          Court (S.D. NY)                    protected settlement payments that fall within the safe harbor              1221 Avenue of the
                                                             provisions of the Bankruptcy Code.                                          Americas
                                                                                                                                         New York, NY 10020
                                                                                                                                         Daniel P. Cunningham
                                                                                                                                         Hugh McDonald
                                                                                                                                         Joshua D. Cohn
                                                                                                                                         Richard S. Malish
California Public         U.S. Court of         12-Feb-04    Whether claims under the Securities Act of 1933 can be removed to           Cleary, Gottlieb, Steen
Employees’ Retirement     Appeals (Second                    federal court under 28 U.S.C. § 1452, the bankruptcy removal statute.       & Hamilton
System v. Bobbitt         Circuit)                                                                                                       One Liberty Plaza
                                                                                                                                         New York, NY 10006
                                                                                                                                         Lewis J. Liman
                                                                                                                                         Thomas J. Moloney
                                                                                                                                         David H. Herrington
                                                                                                                                         Katherine J. Roberts
Dura Pharmaceuticals v.   U.S. Supreme Court      4-Feb-04   Whether the Ninth Circuit applied the proper test for establishing          Sidley Austin Brown &
Broudo                                                       “loss causation” in a securities fraud case.                                Wood LLP
                                                                                                                                         1501 K Street, NW
                                                                                                                                         Washington, DC 20005
                                                                                                                                         Carter G. Phillips
                                                                                                                                         Richard D. Bernstein
                                                                                                                                         Jacqueline G. Cooper




                                                                                                                                                                               32 of 72
                                                                      SIFMA Amicus Brief Program                                                                   Contact Kevin Carroll
                                                                                                                                                                     kcarroll@sifma.org
                                                                                                                                                                          202.962.7382


        Case Name                  Court          Date Filed                               Amicus Issue                                   Counsel of Record
United States v. McCall     U.S. Court of           30-Jan-04   Whether a party may cooperate with a government investigation by         Latham & Watkins LLP
                            Appeals (Ninth                      voluntarily disclosing work product without waiving the privilege as     633 W. Fifth Street,
                            Circuit)                            to other third parties under the “selective waiver doctrine.”            Suite 4000
                                                                                                                                         Los Angeles, CA 90071
                                                                                                                                         James J. Farrell
                                                                                                                                         Robert K. Lu
                                                                                                                                         Laurie B. Smilan
                                                                                                                                         David M Brodsky
McKesson HBOC v. The        Court of Appeal for    17-Nov-03    Whether a company may cooperate with a government investigation          Latham & Watkins LLP
Superior Court of San       the State of                        without risking waiver of the work product privilege as to other third   633 W. Fifth Street,
Francisco County            California                          parties under the “selective waiver doctrine.”                           Suite 4000
                                                                                                                                         Lost Angeles, CA
                                                                                                                                         90071
                                                                                                                                         James J. Farrell
                                                                                                                                         Robert K. Lu
                                                                                                                                         Houman B. Shadab
                                                                                                                                         Laurie B. Smilan
                                                                                                                                         David M. Brodsky
Knorr-Bremse Systeme Fuer   U.S. Court of           3-Nov-03    Whether the adverse inference rule hinders the ability of persons        Dilworth Paxson LLP
Nutzfahrzeuge GMBH v.       Appeals (Federal                    threatened with a claim of patent infringement to engage in full and     3200 Mellon Bank
Dana Corp.                  Circuit)                            frank discussion with their counsel in the course of obtaining a         Center
                                                                favorable written legal opinion because of the fear that these           1735 Market Street
                                                                privileged communications will have to be disclosed in order to avoid    Philadelphia, PA 19103
                                                                a negative inference in a subsequent willful infringement action.        Steven L. Friedman
                                                                                                                                         Thomas S. Biemer

In re California Public     U.S. Court of           10-Oct-03   Whether claims under the Securities Act of 1933 can be removed to        Cleary, Gottlieb, Steen
                            Appeals (Second                     federal court under 28 U.S.C. § 1452, the bankruptcy removal statute.    & Hamilton One
                            Circuit)                                                                                                     Liberty Plaza
                                                                                                                                         New York, NY 10006
                                                                                                                                         Lewis J. Liman
                                                                                                                                         Thomas J. Moloney
                                                                                                                                         David H. Herrington
                                                                                                                                         Katherine J. Roberts




                                                                                                                                                                               33 of 72
                                                                    SIFMA Amicus Brief Program                                                                 Contact Kevin Carroll
                                                                                                                                                                 kcarroll@sifma.org
                                                                                                                                                                      202.962.7382


       Case Name                  Court         Date Filed                               Amicus Issue                                   Counsel of Record
Marsh v. Prudential         Court of Appeals,    27-Aug-03    Whether the practice of contingent incentive compensation is in          Paul, Weiss, Rifkind,
Securities                  State of New York                 contravention of the New York Labor Law.                                 Wharton & Garrison
                                                                                                                                       LLP
                                                                                                                                       1285 Avenue of the
                                                                                                                                       Americas
                                                                                                                                       New York, NY 10019-
                                                                                                                                       6064
                                                                                                                                       Brad S. Karp
                                                                                                                                       Daniel J. Toal
                                                                                                                                       Daniel R. Garodnick
MCA Financial Corp. v.      U.S. Bankruptcy       16-Jul-03   Whether final payments made in connection with whole loan                Miller, Canfield,
Paine Webber                Court (E.D. MI)                   repossession transactions are protected under the “forward               Paddock and Stone,
                                                              contract” safe harbor of the Bankruptcy Code. Because the case was       P.L.C.
                                                              settled, the brief was never filed.                                      150 West Jefferson,
                                                                                                                                       Suite 2500
                                                                                                                                       Detroit, MI 48226
                                                                                                                                       Donald J. Hutchinson
                                                                                                                                       Cleary Gottlieb Steen
                                                                                                                                       & Hamilton
                                                                                                                                       One Liberty Plaza
                                                                                                                                       New York, NY 10006
                                                                                                                                       Seth Grosshandler
                                                                                                                                       Lindsee P. Granfield
                                                                                                                                       Lisa Schweitzer
United States v. Bergonzi   U.S. Court of          5-Jun-03   Whether a company may cooperate with a government investigation          Latham & Watkins LLP
                            Appeals (Ninth                    without risking waiver of the work product privilege as to other third   633 W. Fifth Street,
                            Circuit)                          parties under the “selective waiver doctrine.”                           Suite 4000
                                                                                                                                       Lost Angeles, CA
                                                                                                                                       90071
                                                                                                                                       James J. Farrell
                                                                                                                                       Robert K. Lu
                                                                                                                                       Laurie B. Smilan
                                                                                                                                       David M. Brodsky




                                                                                                                                                                           34 of 72
                                                                        SIFMA Amicus Brief Program                                                              Contact Kevin Carroll
                                                                                                                                                                  kcarroll@sifma.org
                                                                                                                                                                       202.962.7382


        Case Name                   Court           Date Filed                               Amicus Issue                                Counsel of Record
Nuveen and Strong v.          U.S. Court of           17-Apr-03   Whether a state law modeled after the Uniform Securities Act should   Sidley Austin Brown &
Morgan Keegan                 Appeals (Tenth                      apply to an offer to sell securities that was neither “made in” nor   Wood LLP
                              Circuit)                            “directed” to the state.                                              787 Seventh Avenue
                                                                                                                                        New York, NY 10019
                                                                                                                                        A. Robert Pietrzak
                                                                                                                                        Sidley Austin Brown &
                                                                                                                                        Wood LLP
                                                                                                                                        1501 K St., NW
                                                                                                                                        Washington, D.C.
                                                                                                                                        20005
                                                                                                                                        Joseph R. Guerra
                                                                                                                                        Richard D. Klingler
Mayor of the City of New      Supreme Court of       28-Mar-03    Whether New York City Local Law Number 36 is preempted by the         Joseph R. Palmore
                                                                                                                                        Thacher Profitt &
York v. Council of the City   the State of New                    New York State Banking Law and regulations, and should be enjoined    Wood
of New York                   York, County of New                 from taking effect.                                                   11 West 42 nd Street
                              York                                                                                                      New York, NY 10036
                                                                                                                                        Kevin J. Plunkett

Equal Employment              U.S. Court of          21-Mar-03    Whether arbitration of statutory employment claims pursuant to        Orrick, Herrington &
Opportunity Commission v.     Appeals (Ninth                      predispute arbitration agreements is appropriate and often superior   Sutcliffe LLP
Luce, Forward, Hamilton &     Circuit)                            to litigation.                                                        Old Federal Reserve
Scripps LLP                                                                                                                             Bank Bldg.
                                                                                                                                        400 Sansome Street
                                                                                                                                        San Francisco, CA
                                                                                                                                        94111
                                                                                                                                        Michael Delikat
                                                                                                                                        Robert S. Whitman
                                                                                                                                        James H. McQuade




                                                                                                                                                                            35 of 72
                                                                        SIFMA Amicus Brief Program                                                                       Contact Kevin Carroll
                                                                                                                                                                           kcarroll@sifma.org
                                                                                                                                                                                202.962.7382


       Case Name                     Court          Date Filed                                 Amicus Issue                                     Counsel of Record
No. 84 Employer-Teamster      U.S. Court of          13-Mar-03    Whether the absence of any market reaction to a disclosure in the            Latham & Watkins LLP
Joint Council Pension Trust   Appeals (Ninth                      form of a stock price drop is fatal to a plaintiff invoking “fraud-on-the-   505 Mongomery St.,
Fund v. America West          Circuit)                            market” to establish reliance and materiality as elements of their           Suite 1900
Holding Corp.                                                     Section 10(b) claim.                                                         San Francisco, CA
                                                                                                                                               94111
                                                                                                                                               Charles Stephen Treat
                                                                                                                                               Latham & Watkins LLP
                                                                                                                                               2 Freedom Square,
                                                                                                                                               Suite 500
                                                                                                                                               11955 Freedom Drive
                                                                                                                                               Reston VA 20190
                                                                                                                                               Laurie B. Smilan
                                                                                                                                               J. Christian Word



New York City Employees’      U.S. District Court     17-Jan-03   Whether the court may properly assert federal “related to”                   Cleary, Gottlieb, Steen
Retirement System v.          (S.D.N.Y.)                          jurisdiction under Section 1334(b) of the Judicial Code where the            & Hamilton One
Ebbers                                                            defendant underwriters had contribution or indemnity rights against          Liberty Plaza
                                                                  a bankrupt issuer.                                                           New York, NY 10006
                                                                                                                                               Jennifer L. Kroman




                                                                                                                                                                                     36 of 72
                 SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                kcarroll@sifma.org
                                                     202.962.7382



   Other Amici
None.




None.




None.




                                                          37 of 72
                      SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                     kcarroll@sifma.org
                                                          202.962.7382


   Other Amici
Loan Syndications
and Trading
Association

The American
Bankers Association

The Clearing House

The Commercial
Finance Association

The Commercial
Real Estate Finance
Council

The Equipment
Leasing and Finance
Association

The Financial
Services Roundtable




None




                                                               38 of 72
                       SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                      kcarroll@sifma.org
                                                           202.962.7382


   Other Amici
Global Financial
Markets Association
(GFMA)

Asia Securities
Industry and
Financial Markets
Association
(ASIFMA)

Association for
Financial Markets in
Europe (AFME)

Australian Financial
Markets Association


None.




None.




                                                                39 of 72
                      SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                     kcarroll@sifma.org
                                                          202.962.7382


   Other Amici
None.




None.




None.



The Clearing House
Association

The American
Bankers Association

The New York
Bankers Association



U.S. Chamber of
Commerce

American Bankers
Association


None.




                                                               40 of 72
                  SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                 kcarroll@sifma.org
                                                      202.962.7382


   Other Amici
U.S. Chamber of
Commerce




U.S. Chamber of
Commerce




None.




U.S. Chamber of
Commerce



None.




                                                           41 of 72
                      SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                     kcarroll@sifma.org
                                                          202.962.7382


   Other Amici
None.




U.S. Chamber of
Commerce




None




None




International Swaps
and Derivatives
Association, Inc.
(ISDA)




                                                               42 of 72
                     SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                    kcarroll@sifma.org
                                                         202.962.7382


   Other Amici
The Clearing House
Association




None




The Clearing House
Association




                                                              43 of 72
                     SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                    kcarroll@sifma.org
                                                         202.962.7382


   Other Amici
SIFMA Compliance &
Legal Society

Association of
Corporate Counsel




None




None




                                                              44 of 72
                     SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                    kcarroll@sifma.org
                                                         202.962.7382


   Other Amici
The Clearing House
Association




None.




U.S. Chamber of
Commerce




None.




None.




                                                              45 of 72
                 SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                kcarroll@sifma.org
                                                     202.962.7382


   Other Amici
None.




None.




None.




None.




                                                          46 of 72
                   SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                  kcarroll@sifma.org
                                                       202.962.7382


   Other Amici
None.




None.




None.




U.S. Chamber of
Commerce,
American Bankers
Association,
Mortgage Bankers
Association




                                                            47 of 72
                       SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                      kcarroll@sifma.org
                                                           202.962.7382


   Other Amici
U.S. Chamber of
Commerce,
Pharmaceutical
Research and
Manufacturers of
America




None.




The Clearing House
Association, The
Financial Services
Roundtable




Association for
Financial Markets in
Europe (AFME), U.S.
Chamber of
Commerce, U.S.
Council for
International
Business,
The Association
Française Des
Enterprises Privées,
GC100



                                                                48 of 72
                   SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                  kcarroll@sifma.org
                                                       202.962.7382


   Other Amici
None.




None.




Mortgage Bankers
Association




None.




                                                            49 of 72
                  SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                 kcarroll@sifma.org
                                                      202.962.7382


   Other Amici
U.S. Chamber of
Commerce




None.




None.




None.




                                                           50 of 72
                       SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                      kcarroll@sifma.org
                                                           202.962.7382


   Other Amici
The Clearing House,
The Financial
Services Roundtable




None.




The Clearing House,
The National Foreign
Trade Council, The
Organization for
International
Investment, U.S.
Council for
International
Business




                                                                51 of 72
                   SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                  kcarroll@sifma.org
                                                       202.962.7382


   Other Amici
U.S. Chamber of
Commerce




None




Futures Industry
Association




                                                            52 of 72
                      SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                     kcarroll@sifma.org
                                                          202.962.7382


   Other Amici
None.




None.




International Swaps
and Derivatives
Association, Inc.




None.




                                                               53 of 72
                      SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                     kcarroll@sifma.org
                                                          202.962.7382


   Other Amici
International Swaps
and Derivatives
Association, Inc.




None.




U.S. Chamber of
Commerce
American Bankers
Association
ABA Securities
Association
The Clearing House
Association
Financial Services
Roundtable
None.




                                                               54 of 72
                       SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                      kcarroll@sifma.org
                                                           202.962.7382


   Other Amici
None.




None.




American
Securitization Forum




None




                                                                55 of 72
                       SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                      kcarroll@sifma.org
                                                           202.962.7382


   Other Amici
The Clearing House
Association
American Bankers
Association
Bankers’ Association
for Finance and
Trade
European Banking
Federation
The Financial
Services Forum
The Financial
Services Roundtable
Institute of
International
Bankers
The Swiss Bankers
Association
None.




None.




                                                                56 of 72
                    SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                   kcarroll@sifma.org
                                                        202.962.7382


   Other Amici
None.




Futures Industry
Association




Loan Syndications
and Trading
Association




                                                             57 of 72
                      SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                     kcarroll@sifma.org
                                                          202.962.7382


   Other Amici
None.




None.




U.S. Chamber of
Commerce
U.S. Council for
International
Business
The Association
Française Des
Enterprises Privées



None.




                                                               58 of 72
                     SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                    kcarroll@sifma.org
                                                         202.962.7382


   Other Amici
Loan Syndications
and Trading
Association




The Clearing House
Association
National Foreign
Trade Council
Organization for
International
Investment
U.S. Council for
International
Business
None.




Loan Syndications
and Trading
Association




None.




                                                              59 of 72
                      SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                     kcarroll@sifma.org
                                                          202.962.7382


   Other Amici
The Financial
Services Roundtable




None.




Loan Syndications
and Trading
Association




International Swaps
and Derivatives
Association
Loan Syndications
and Trading
Association




                                                               60 of 72
                     SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                    kcarroll@sifma.org
                                                         202.962.7382


   Other Amici
None.




U.S. Chamber of
Commerce
The Business
Roundtable




The Clearing House
Association




None.




                                                              61 of 72
                     SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                    kcarroll@sifma.org
                                                         202.962.7382


   Other Amici
U.S. Chamber of
Commerce




The Clearing House
Association




None.




U.S. Chamber of
Commerce
Association of
Corporate Counsel




                                                              62 of 72
                      SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                     kcarroll@sifma.org
                                                          202.962.7382


   Other Amici
U.S. Chamber of
Commerce




None.




Futures Industry
Association
Financial Services
Roundtable




International Swaps
and Derivatives
Association
Loan Syndications
and Trading
Association




                                                               63 of 72
                      SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                     kcarroll@sifma.org
                                                          202.962.7382


   Other Amici
U.S. Chamber of
Commerce
The Clearing House
Association




None.




None.




None.




International Swaps
and Derivatives
Association




                                                               64 of 72
                      SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                     kcarroll@sifma.org
                                                          202.962.7382


   Other Amici
International Swaps
and Derivatives
Association




International Swaps
and Derivatives
Association




International Swaps
and Derivatives
Association




None.




None.




                                                               65 of 72
                      SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                     kcarroll@sifma.org
                                                          202.962.7382


   Other Amici
U.S. Chamber of
Commerce
The Clearing House
Association

None.




None.




Investment
Company Institute
Investment Counsel
Association of
America
American Insurance
Association
American Council of
Life Insurers
National Business
Coalition on E-
Commerce and
Privacy




                                                               66 of 72
                       SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                      kcarroll@sifma.org
                                                           202.962.7382


   Other Amici
None.




None.




None.




American
Securitization Forum




                                                                67 of 72
                      SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                     kcarroll@sifma.org
                                                          202.962.7382


   Other Amici
None.




International Swaps
and Derivatives
Association




None.




None.




None.




                                                               68 of 72
                 SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                kcarroll@sifma.org
                                                     202.962.7382


   Other Amici
None.




None.




None.




None.




                                                          69 of 72
                 SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                kcarroll@sifma.org
                                                     202.962.7382


   Other Amici
None.




None.




None.




                                                          70 of 72
                 SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                kcarroll@sifma.org
                                                     202.962.7382


   Other Amici
None.




None.




None.




                                                          71 of 72
                 SIFMA Amicus Brief Program   Contact Kevin Carroll
                                                kcarroll@sifma.org
                                                     202.962.7382


   Other Amici
None.




None.




                                                          72 of 72

				
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