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


          Case Name                 Court               Date Filed                                       Amicus Issue                                          Counsel of Record               Contact               Other Amici
Microsoft v. i4i Limited   U.S. Supreme Court              29-Sep-10 Whether, when a defense of patent invalidity rests on documentary evidence that was Chadbourne & Parke LLP         30 Rockefeller Plaza     The Clearing House
Partnership                                                          not considered by the Patent and Trademark Office (PTO), the defense must be                                       New York, NY 10112       Association
                                                                     proved by clear and convincing evidence, or whether some lesser evidentiary standard                               John A. Squires
                                                                     is more appropriate.
Janus Capital              U.S. Supreme Court              10-Sep-10 Whether the Fourth Circuit erred in concluding - in direct conflict with decisions of the Sidley Austin LLP        1501 K Street, NW        None.
                                                                     Fifth, Sixth, and Eighth Circuits - that a service provider can be held primarily liable in                        Washington, DC 20005
                                                                     a private securities-fraud action for “help*ing+” or “participating in” another                                    Carter G. Phillips
                                                                     company's misstatements. Whether the Fourth Circuit erred in concluding - in direct                                Jonathan F. Cohn
                                                                     conflict with decisions of the Second, Tenth, and Eleventh Circuits - that a service                               Daniel A. McLaughlin
                                                                     provider can be held primarily liable in a private securities-fraud action for statements                          Eric D. McArthur
                                                                     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 Exchange Act and Dewey & LeBoeuf LLP         1101 New York Avenue,    U.S. Chamber of
                                                                     SEC Rule 10b-5 based on a pharmaceutical company’s nondisclosure of adverse event                                  NW                       Commerce
                                                                     reports even though the 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 Appeals           20-Aug-10 Whether transfers of commercial paper that settle on the DTC are insulated from      Mayer Brown LLP               1675 Broadway            None.
                           (Second Circuit)                          voidable preference claims under the safe-harbor of section 546(e) of the Bankruptcy                               New York, NY 10019
                                                                     Code.                                                                                                              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 own account         Sidley Austin LLP            787 Seventh Avenue       None.
                           (S.D.N.Y.)                                thereby becomes an “initial transferee” of those deposits, such that the deposits may                              New York, NY 10019
                                                                     be voidable as fraudulent transfers under the Bankruptcy Code.                                                     Henry F. Minnerop
                                                                                                                                                                                        Daniel A. McLaughlin
Fisher v. JPMorgan Chase   U.S. Court of Appeals            4-Aug-10 Whether an ERISA plan fiduciary may be sued for allowing an ERISA plan to offer           Allen & Overy LLP        1221 Avenue of the       None.
                           (Second Circuit)                          employer stock when the plan requires it to do so.                                                                 Americas
                                                                                                                                                                                        New York, NY 10020
                                                                                                                                                                                        Pamela Rogers Chepiga
                                                                                                                                                                                        Andrew Rhys Davies
                                                                                                                                                                                        Henry Morgenbesser
                                                                                                                                                                                        Lanier Saperstein

Kirschner v. KPMG          Court of Appeals, State of       23-Jul-10 Whether the adverse interest exception to thein pari delicto defense is satisfied for     Skadden, Arps, Slate,   Four Times Square        None.
                           New York                                   pleading purposes simply by alleging that the plaintiff’s officers/directors acted solely Meagher & Flom LLP      New York, NY 10036
                                                                      for the purpose of enriching themselves, thereby negating a third party’s ability to rely                         Scott D. Musoff
                                                                      on the in pari delicto defense at the motion to dismiss stage.                                                    Christos Ravanides




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


          Case Name                         Court              Date Filed                                      Amicus Issue                                          Counsel of Record               Contact                 Other Amici
Barclays Capital v.                U.S. Court of Appeals           22-Jul-10 Whether time-sensitive facts (the buy/sell recommendations) from a securities firm’s    Paul, Hastings, Janofsky & 875 15th Street, NW      None.
TheFlyOnTheWall.com                (Second Circuit)                          research reports are entitled to protection against immediate republication by news     Walker LLP                 Washington, DC 20005
                                                                             aggregators under the “hot news” misappropriation doctrine.                                                        Stephen B. Kinnaird
                                                                                                                                                                                                Barry Sher
                                                                                                                                                                                                William F. Sullivan
                                                                                                                                                                                                Peter M. Stone
                                                                                                                                                                                                Morgan J. Miller

Gearren v. The McGraw Hill         U.S. Court of Appeals           22-Jul-10 Whether an ERISA plan fiduciary may be sued for allowing an ERISA plan to offer         Simpson Thacher &        425 Lexington Avenue       None.
Companies                          (Second Circuit)                          employer stock when the plan requires it to do so.                                      Bartlett LLP             New York, NY 10017
                                                                                                                                                                                              Joseph M. McLaughlin
                                                                                                                                                                                              George S. Wang
                                                                                                                                                                                              Agnès Dunogué
                                                                                                                                                                                              Hiral D. Mehta

SAL Financial Services, Inc. v.    Second District Court of        12-Jul-10 Whether a Florida court may apply a fee multiplier to a statutory award of attorneys’   Clifford Chance US LLP   2001 K Street, NW          None.
Gauzza                             Appeal, State of Florida                  fees awarded in a FINRA securities arbitration case.                                                             Washington, DC 20006
                                                                                                                                                                                              Stephen M. Nickelsburg
                                                                                                                                                                                              Michelle Williams
                                                                                                                                                                                              Erin Louise Palmer



RBC Dominion Securities Corp. v.   U.S. Court of Appeals            2-Jul-10 Whether a purchaser of securities can rely on the seller’s broker’s oral agreement as Milbank, Tweed, Hadley     One Chase Manhattan        None.
Schneider                          (Second Circuit)                          to the size and price of the securities to be sold as a binding oral agreement to sell the & McCloy LLP          Plaza
                                                                             securities on those terms, or whether the purchaser is required to make a further                                New York, NY 10005
                                                                             inquiry into the scope of their counterparties’ authority to engage in a particular trade                        Sean M. Murphy
                                                                             when dealing with a broker.

CMMF v. J.P. Morgan Investment     Supreme Court of the           30-Apr-10 Whether New York’s Martin Act has preemptive effect on common law non-fraud tort Wilmer Cutler Pickering          399 Park Avenue            None.
Management / Assured Guaranty      State of New York,                       claims, as numerous state and federal cases have held.                           Hale and Dorr LLP                New York, NY 10022
(UK) v. J.P. Morgan Investment     Appellate Division, First                                                                                                                                  Lori A. Martin
Management                         Department                                                                                                                                                 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. Whalen        U.S. Supreme Court             26-Apr-10 Whether an underwriter who is tasked with approving loans, in accordance with            Weil, Gotshal & Manges   767 Fifth Avenue           U.S. Chamber of
                                                                            detailed guidelines provided by his employer, is an administrative employee exempt       LLP                      New York, NY 10153         Commerce, American
                                                                            from the overtime requirements of the Fair Labor Standards Act (FLSA).                                            Allan Dinkoff              Bankers Association,
                                                                                                                                                                                                                         Mortgage Bankers
                                                                                                                                                                                                                         Association




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


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

Citigroup ERISA Litigation       U.S. Court of Appeals      26-Mar-10 Whether an ERISA plan fiduciary may be sued for allowing an ERISA plan to offer           Orrick, Herrington &       666 Fifth Avenue        None.
                                 (Second Circuit)                     employer stock when the plan requires it to do so.                                        Sutcliffe LLP              New York, NY 10103-0001

                                                                                                                                                                                           Ira G. Rosenstein
                                                                                                                                                                                           Joseph Liburt

John Hancock v. U.S.             U.S. Court of Appeals      10-Mar-10 Whether section 6323 of the Internal Revenue Code provides protection for security Sullivan & Cromwell LLP           125 Broad Street         The Clearing House
                                 (Fifth Circuit)                      interests held by indenture trustees on behalf of secured creditors against later-arising                            New York, NY 1000        Association, The Financial
                                                                      tax liens on the debtor’s property.                                                                                  Bruce E. Clark           Services Roundtable
                                                                                                                                                                                           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 conduct under U.S.       Cleary Gottlieb Steen &    One Liberty Plaza New    Association for Financial
                                                                      securities laws.                                                                          Hamilton LLP               York, NY 10006           Markets in Europe
                                                                                                                                                                                                                    (AFME), U.S. Chamber of
                                                                                                                                                                                           Deborah M. Buell         Commerce, U.S. Council
                                                                                                                                                                                           Giovanni P. Prezioso     for International
                                                                                                                                                                                           Meredith Kotler          Business,
                                                                                                                                                                                           Lauren L. Peacock        The Association Française
                                                                                                                                                                                           Jorge G. Tenreiro        Des Enterprises Privées,
                                                                                                                                                                                           Suzanne B. McMillan      GC100




Symbol Technologies v. Deloitte & Supreme Court of the        6-Jan-10 Whether the adverse interest exception to the in pari delicto defense is satisfied for    Wilmer Cutler Pickering   1875 Pennsylvania        None.
Touche                            State of New York,                   pleading purposes simply by alleging that the plaintiff's officers/directors acted solely Hale and Dorr LLP         Avenue, NW
                                  Appellate Division,                  for the purpose of enriching themselves, thereby negating a third party's ability to rely                           Washington, DC 20007
                                  Second Department                    on the in pari delicto defense at the motion to dismiss stage.                                                      Lori A. Martin
                                                                                                                                                                                           Philip D. Anker
                                                                                                                                                                                           Alyshea Austern




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


          Case Name                       Court            Date Filed                                     Amicus Issue                                        Counsel of Record                 Contact                   Other Amici
Broom v. Morgan Stanley          Supreme Court of the         29-Dec-09 Whether a court may vacate an arbitration award under Washington law for "error of Greenberg Traurig, P.A.      2375 E. Camelback Road        None.
                                 State of Washington                    law" or whether the court is limited to the narrower statutory grounds, and whether                             Suite 700
                                                                        arbitrators are precluded under Washington law from applying the state statute of                               Phoenix, AZ 85016
                                                                        limitations to state law claims brought in arbitration, such that dismissal of an
                                                                        arbitration 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 Chase      U.S. Court of Appeals        22-Dec-09 Whether an underwriter who is tasked with approving loans, in accordance with         Weil, Gotshal & Manges    767 Fifth Avenue              Mortgage Bankers
                                 (Second Circuit)                       detailed guidelines provided by his employer, is an administrative employee exempt    LLP                       New York, NY 10153            Association
                                                                        from the overtime requirements of the Fair Labor Standards Act (FLSA).                                          Allan Dinkoff

Holmes v. Grubman and Citigroup Supreme Court of Georgia      16-Oct-09 Whether Georgia common law recognizes fraud claims based on forbearance in the        Skadden, Arps, Slate,       Four Times Square           None.
                                                                        sale of publicly traded securities.                                                   Meagher & Flom LLP          New York, NY 10036
                                                                                                                                                                                          Jay B. Kasner
                                                                                                                                                                                          Scott D. Musoff
                                                                                                                                                                                          Jonathan Eisenberg
In re Infineon Technologies AG   U.S. Court of Appeals         9-Sep-09 Whether foreign investors may sue a foreign issuer for foreign conduct under U.S.       Wachtell, Lipton, Rosen & 51 West 52nd Street         U.S. Chamber of
Securities Litigation            (Ninth Circuit)                        securities laws in U.S. Court.                                                          Katz                      New York, NY 10019          Commerce
                                                                                                                                                                                          George T. Conway III
SIFMA Reply Brief                                              9-Sep-09 Whether Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Cabaniss, Johnston,       2001 Park Place, North      None.
                                                                        Exchange Act of 1934 apply to interest rate swap transactions under which payments Gardner, Dumas & O’Neal Suite 700
                                                                        are based on the SIFMA Municipal Swap Index.                                            LLP                       Birmingham, AL 35203
                                                                                                                                                                                          Crawford S. McGivaren,
                                                                                                                                                                                          Jr.



Jones v. Harris                  U.S. Supreme Court           27-Aug-09 Whether, in evaluating a Section 36(b) claim for excessive mutual fund management Sidley Austin LLP             1501 K Street, NW             None.
                                                                        fees, the court should examine whether the services provided were reasonably worth                              Washington, DC 20005
                                                                        their cost, or instead, whether the client made a voluntary choice ex ante with the                             Carter G. Phillips
                                                                        benefit of adequate disclosure.                                                                                 Jonathan F. Cohn
                                                                                                                                                                                        James C. Owens
                                                                                                                                                                                        Sidley Austin LLP
                                                                                                                                                                                        787 Seventh Avenue
                                                                                                                                                                                        New York, NY 10019
                                                                                                                                                                                        John A. MacKinnon
                                                                                                                                                                                        Robert Pietrzak




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


          Case Name                      Court          Date Filed                                       Amicus Issue                                           Counsel of Record                Contact               Other Amici
Merck & Co. v. Reynolds         U.S. Supreme Court         17-Aug-09 Whether the Third Circuit erred in holding, in accord with the Ninth Circuit but in        Willkie Farr & Gallagher   1875 K Street, NW       None.
                                                                     contrast to nine other Courts of Appeals, that under the “inquiry notice” standard         LLP                        Washington, DC 20006
                                                                     applicable to federal securities fraud claims, the statute of limitations does not begin                              Richard D. Bernstein
                                                                     to run until an investor receives evidence of scienter without the benefit of any                                     Michael R. Young
                                                                     investigation.                                                                                                        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 when they relied            Sidley Austin LLP          787 Seventh Avenue      None.
Litigation                      (S.D.N.Y.)                           upon senior underwriters to perform due diligence.                                                                    New York, NY 10019
                                                                                                                                                                                           Joseph McLaughlin
                                                                                                                                                                                           Jonathan F. Cohn
                                                                                                                                                                                           Daniel A. McLaughlin
                                                                                                                                                                                           Patricia C. Fratto
In re Healthsouth Corporation   U.S. Court of Appeals      24-Apr-09 Whether the fraud on the market presumption of class-wide reliance is available to a Shearman & Sterling LLP          599 Lexington Avenue    The Clearing House, The
Securities Litigation           (Eleventh Circuit)                   class of stockholders asserting Section 10(b) claims against an initial purchaser in a                                New York, New York      Financial Services
                                                                     Rule 144A private placement of the issuer’s debt securities, based on the theory that                                 10022                   Roundtable
                                                                     the initial purchaser – by having its name on the cover of the confidential private                                   Herbert S. Washer
                                                                     placement offering materials and by participating in the private placement – made an                                  Daniel C. Lewis
                                                                     implied statement to the investing public at large, implicitly “endorsing” the issuer’s
                                                                     financial statements.

SEC v. Tambone                  U.S. Court of Appeals      24-Apr-09 Whether underwriters and their employees may be held primarily liable under Section Sidley Austin LLP                 1501 K Street, NW       None.
                                (First Circuit)                      10(b) of the Exchange Act and Rule 10b-5 for false statements in a mutual fund                                        Washington, DC 20005
                                                                     prospectus, regardless of whether they ever made statements in the prospectus                                         Carter G. Phillips
                                                                     within the meaning of Rule10b-5(b).                                                                                   Jonathan F. Cohn
                                                                                                                                                                                           Daniel A. McLaughlin
                                                                                                                                                                                           Eric D. McArthur

Capital One Bank v. Comm’r of   U.S. Supreme Court         17-Apr-09 Whether a State may impose income tax on a bank with no physical presence in that          Sullivan & Cromwell LLP    125 Broad Street        The Clearing House,
Revenue                                                              State.                                                                                                                New York, NY 10004      The National Foreign
                                                                                                                                                                                           Richard Urowsky         Trade Council, The
                                                                                                                                                                                                                   Organization for
                                                                                                                                                                                                                   International Investment,
                                                                                                                                                                                                                   U.S. Council for
                                                                                                                                                                                                                   International Business




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


         Case Name                         Court              Date Filed                                    Amicus Issue                                        Counsel of Record                Contact                Other Amici
Schachter v. Citigroup            Supreme Court of the            15-Jan-09 Whether the forfeiture provisions in Citi’s voluntary incentive compensation plan – Morgan, Lewis & Bockius   101 Park Avenue          U.S. Chamber of
                                  State of California                       which gives employees the option of using a portion of their earnings to purchase   LLP                       New York, NY 10178       Commerce
                                                                            shares in the company’s stock below market price, but which provides that employees                           Sam S. Shaulson
                                                                            forfeit both the stock and the money used to purchase it if they resign or are                                Morgan, Lewis & Bockius
                                                                            terminated for cause within a two-year period – violate the California Labor Code’s                           LLP
                                                                            requirement that an employer pay an employee all earned wages at the time the                                 One Market, Spear Tower
                                                                            employee ceases employment.                                                                                   San Francisco, CA 94105
                                                                                                                                                                                          Thomas M. Peterson
                                                                                                                                                                                          Morgan, Lewis & Bockius
                                                                                                                                                                                          LLP
                                                                                                                                                                                          5 Park Plaza, Suite 1750
                                                                                                                                                                                          Irvine, CA 92612
                                                                                                                                                                                          Carrie A. Gonell




Broom v. Morgan Stanley           Supreme Court of the            1-Dec-08 Whether a court may vacate an arbitration award under Washington law for “error of Greenberg Traurig, P.A.     777 S. Flagler Drive      None
                                  State of Washington                      law” or whether the court is limited to the narrower statutory grounds, and whether                            Suite 300 East
                                                                           arbitrators are precluded under Washington law from applying the state statute of                              West Palm Beach, FL
                                                                           limitations to state law claims brought in arbitration, such that dismissal of an                              33401
                                                                           arbitration claim on this ground constitutes an error of law.                                                  David Paltzik
                                                                                                                                                                                          Bradford D. Kaufman
                                                                                                                                                                                          Jason M. Fedo
Gredd v. Bear Stearns             U.S. Court of Appeals          19-Nov-08 Whether a securities broker that credits deposits to a customer’s own account         Pepper Hamilton LLP      Hamilton Square           Futures Industry
                                  (Second Circuit)                         thereby becomes an “initial transferee” of those deposits, such that the deposits may                          600 Fourteenth Street,    Association
                                                                           be voidable as fraudulent transfers under the Bankruptcy Code.                                                 N.W.
                                                                                                                                                                                          Washington, DC 20005
                                                                                                                                                                                          Ivan B. Knauer

Securities and Exchange           U.S. District Court (N.D.       7-Aug-08 Whether Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Cadwalader Wickensham One World Financial        None.
Commission v. Langford, et al.    Alabama)                                  Exchange Act of 1934 apply to interest rate swap transactions under which payments & Taft                    Center
                                                                            are based on the SIFMA Municipal Swap Index.                                                                 New York, NY 10287
                                                                                                                                                                                         Jonathan M. Hoff
                                                                                                                                                                                         Lary Stromfeld
                                                                                                                                                                                         Maurine Bartlett
                                                                                                                                                                                         Tom M. Fini
CSX Corporation v. The Children’s U.S. Court of Appeals           18-Jul-08 Whether defendants had beneficial ownership, within the meaning of Reg. 13D, of the Cleary Gottlieb Steen &  One Liberty Plaza          International Swaps and
Investment Fund                   (Second Circuit)                          CSX shares held by their cash- settled total return equity swap counterparties.        Hamilton LLP          New York, NY 10006         Derivatives Association,
                                                                                                                                                                                         David M. Becker            Inc.
                                                                                                                                                                                         Edward J. Rosen
                                                                                                                                                                                         Michael D. Dayan
                                                                                                                                                                                         Joon H. Kim
                                                                                                                                                                                         Shiwon Choe




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


         Case Name                          Court              Date Filed                                      Amicus Issue                                        Counsel of Record                 Contact                  Other Amici
Luther v. Countrywide Home         U.S. Court of Appeals           13-Jun-08 Whether the Class Action Fairness Act of 2005 (CAFA) permits removal to federal court Willkie Farr & Gallagher   787 Seventh Avenue          None.
Loans Servicing, LP                (Ninth Circuit)                           of a case brought under Section 11 of the Securities Act of 1933, even though the     LLP                        New York, NY 10019
                                                                             Securities Uniform Standards Act (SLUSA) does not, because of the nature/type of the                             John R. Oller
                                                                             securities involved.                                                                                             David M. Stolzfus
                                                                                                                                                                                              Willkie Farr & Gallagher
                                                                                                                                                                                              LLP
                                                                                                                                                                                              1875 K Street, NW
                                                                                                                                                                                              Washington, DC 20006
                                                                                                                                                                                              Richard D. Bernstein

CSX Corporation v. The Children’s U.S. District Court               2-Jun-08 Whether defendants had beneficial ownership, within the meaning of Reg. 13D, of the Cleary Gottlieb Steen &      One Liberty Plaza           International Swaps and
Investment Fund                   (S.D.N.Y.)                                 CSX shares held by their cash- settled total return equity swap counterparties.     Hamilton LLP                 New York, NY 10006          Derivatives Association,
                                                                                                                                                                                              David M. Becker             Inc.
                                                                                                                                                                                              Edward J. Rosen
                                                                                                                                                                                              Michael D. Dayan
Central Laborers Pension Fund v.   U.S. Court of Appeals          30-May-08 Whether and under what circumstances a claim under Section 11 of the Securities Act Dewey & LeBoeuf LLP           333 South Grand Avenue      None.
Merix Corporation                  (Ninth Circuit)                          of 1933 is subject to the heightened pleading requirements of Fed. R. Civ. P. 9(b).                               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 the         22-May-08 Whether Wells Fargo entered into a fiduciary relationship with their customer;         Munger, Tolles & Olson     355 South Grand Avenue U.S. Chamber of
                                   State of California,                     whether Wells Fargo breached their alleged fiduciary duty by failing to advise the     LLP                        35th Floor             Commerce
                                   Second Appellate District                customer about a standard arbitration clause in the brokerage agreement; and                                      Los Angeles, CA 90071  American Bankers
                                                                            whether the standard securities industry arbitration clause is unconscionable.                                    George M. Garvey       Association
                                                                                                                                                                                              Jeffrey Y. Wu          ABA Securities
                                                                                                                                                                                                                     Association
                                                                                                                                                                                                                     The Clearing House
                                                                                                                                                                                                                     Association
                                                                                                                                                                                                                     Financial Services
                                                                                                                                                                                                                     Roundtable
Safron Capital Corp. v. Leadis     U.S. Court of Appeals          15-May-08 Whether and under what circumstances a claim under Section 11 of the Securities Act Dewey & LeBoeuf LLP           333 South Grand Avenue None.
Technology                         (Ninth Circuit)                          of 1933 is subject to the heightened pleading requirements of Fed. R. Civ. P. 9(b).                               Los Angeles, CA 90071
                                                                                                                                                                                              John E. Schreiber
                                                                                                                                                                                              Dewey & LeBoeuf LLP
                                                                                                                                                                                              1101 New York Avenue,
                                                                                                                                                                                              NW Washington, DC
                                                                                                                                                                                              20005
                                                                                                                                                                                              Lyle Roberts




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


          Case Name                       Court               Date Filed                                     Amicus Issue                                         Counsel of Record                Contact                  Other Amici
In re Enron Creditors Recovery   U.S. Bankruptcy Court            6-May-08 Whether Enron may avoid and recover, as preferences or fraudulent conveyances,      Allen & Overy LLP            1221 Avenue of the          None.
Corp.                            (S.D. NY)                                 various pre-petition payments made by Enron in connection with the repurchase,                                   Americas
                                                                           prior to maturity, of certain of Enron’s outstanding commercial paper in the period                              New York, NY 10020
                                                                           preceding Enron’s voluntary petition for relief under Chapter 11 of the Bankruptcy                               Joshua Cohn
                                                                           Code.
In re Bear Stearns Litigation    Supreme Court of the             5-May-08 Whether an injunction designed to prevent the merger of JP Morgan and Bear Stearns Willkie Farr & Gallagher      787 Seventh Avenue          None.
                                 State of New York,                        would harm the public interest because a collapse of Bear Stearns would have severe LLP                          New York, NY 10019
                                 County of New York                        negative consequences for the nation’s financial markets and the economy as a                                    Tariq Mundiya
                                                                           whole.                                                                                                           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 terms and              Thacher Proffitt & Wood Two World Financial           American Securitization
                                 Commonwealth of                           conditions, documentation, disclosure, securitization, and sale were all plainly       LLP                     Center                        Forum
                                 Massachusetts                             permitted under state and federal law may nevertheless be found to be violative of a                           New York, NY 10281
                                                                           Massachusetts consumer protection statute.                                                                     Richard F. Hans
                                                                                                                                                                                          John P. Doherty
                                                                                                                                                                                          Neil T. Bloomfield
Pachter v. Bernard Hodes Group   Court of Appeals, State of       7-Mar-08 Whether, in the absence of a governing agreement, commissions are “earned” and         Morgan, Lewis & Bockius 101 Park Avenue               None
                                 New York                                  therefore considered “wages” under sections 191 and 193, thereby rendering most        LLP                     New York, NY 10178
                                                                           subsequent deductions unlawful.                                                                                Samuel S. Shaulson
American Isuzu Motors v.        U.S. Supreme Court               11-Feb-08 Whether financial services firms, by engaging in their ordinary business in South      Simpson Thacher &       425 Lexington Avenue          The Clearing House
Ntsebeza, Digwamaje, Khulamani,                                            Africa, in a manner consistent with applicable law and encouraged by their home        Bartlett LLP            New York, NY 11215            Association
et al.                                                                     countries pursuant to policies of constructive economic engagement, aided and                                  Thomas C. Rice                American Bankers
                                                                           abetted the apartheid regime in violation of the Alien Tort Statute.                                           Mary Elizabeth McGarry        Association
                                                                                                                                                                                          Agnes Dunogue                 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




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


          Case Name                          Court          Date Filed                                      Amicus Issue                                         Counsel of Record                Contact                Other Amici
U.S. v. Stein                       U.S. Court of Appeals       22-Jan-08 Whether the Department of Justice’s now-repudiated policy of taking a firm’s            Clifford Chance US LLP   31 West 52nd Street       None.
                                    (Second Circuit)                      advancement of attorneys’ fees into account in deciding whether the firm adequately                              New York, NY 10019
                                                                          cooperated with a criminal investigation wrongfully interfered with employees’ lawful
                                                                          access to independent legal advice, and improperly undermined employers’ well-                                   Mark A. Kirsch
                                                                          established right to advance fees to individuals who face legal jeopardy as a result of                          Kara Morrow
                                                                          doing their jobs.                                                                                                Tamar Bruger
                                                                                                                                                                                           Clifford Chance US LLP
                                                                                                                                                                                           2001 K Street NW
                                                                                                                                                                                           Washington, DC 20006

                                                                                                                                                                                           Stephen M. Nickelsburg




American Home Mortgage v. CSFB U.S. Bankruptcy Court (D.       12-Oct-07 Whether and the extent to which a mortgage loan master repurchase agreement,           Teitelbaum & Baskin, LLP   3 Barker Avenue           None.
                               Del.)                                     inclusive of the mortgage servicing provisions, is a “repurchase agreement” as defined                            Third Floor
                                                                         in §101(47) of the Bankruptcy Code and therefore, covered by the safe harbor                                      White Plains, NY 10601
                                                                         provisions of Bankruptcy Code §559.                                                                               Jay Teitelbaum
                                                                                                                                                                                           Ron Baskin

Strand v. Escambia County, FL /     Florida Supreme Court      17-Sep-07 Whether bonds payable through tax increment financing (TIFs), and certain other          dwards Angell Palmer &   One North Clematis        None.
Appendix A to Motion                                                     obligations payable from ad valorem taxes, such as certificates of participation (COPs), Dodge LLP                Street
                                                                         are subject to the referendum requirements of article VII, section 12, of Florida’s                               Suite 400
                                                                         Constitution.                                                                                                     West Palm Beach, FL
                                                                                                                                                                                           33401
                                                                                                                                                                                           Elaine Johnson James
                                                                                                                                                                                           Richard J. Miller
                                                                                                                                                                                           Mark-David Adams
                                                                                                                                                                                           Christine Senne
Stoneridge v. Scientific –Atlanta   U.S. Supreme Court         15-Aug-07 Whether conduct by secondary actors may give rise to primary liability under Section    O’Melveny & Myers LLP     1625 Eye Street, N.W.     Futures Industry
and Motorola                                                             10(b) of the 1934 Act and Rule 10b-5 under a “scheme to defraud” liability theory.                                Washington, DC 20006      Association
                                                                                                                                                                                           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 Court       7-Aug-07 Whether Rule 2019(a) of the Federal Rules of Bankruptcy Procedure applies to the        Wilmer Cutler Pickering   399 Park Avenue           Loan Syndications and
                                    (S.D. NY)                            members of ad hoc committees, who represent only their own interests and who are        Hale and Dorr LLP         New York, NY 10022        Trading Association
                                                                         not fiduciaries for other stakeholders, such that they would be forced to disclose                                Andrew N. Goldman
                                                                         highly confidential and proprietary information.                                                                  James H. Millar




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


          Case Name                         Court          Date Filed                                      Amicus Issue                                          Counsel of Record                Contact              Other Amici
Kentucky v. Davis                  U.S. Supreme Court          19-Jul-07 Whether Kentucky’s income tax scheme violates the Commerce Clause of the U.S.           Sidley Austin LLP         1501 K Street, NW       None.
                                                                         Constitution because it exempts from tax the interest earned by its residents on in-                              Washington, DC 20005
                                                                         state municipal bonds, but taxes the interest earned by its residents on out-of-state                             Carter Phillips
                                                                         municipal bonds.                                                                                                  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 the        16-Jul-07 Whether NASD arbitrators have power to recommend expungement of CRD records             Bingham McCutchen LLP     2020 K Street, NW       None.
Kurrasch v. Gibson                 State of New York,                    pursuant to NASD Rule 2130 in light of the State of New York’s alleged property                                   Washington, DC 20006
                                   County of New York                    interest in those records, and state recordkeeping regulations.                                                   Paul J. Lambert
                                                                                                                                                                                           Marie K.N. DeBonis



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



Mary Ellen Kay v. Loretta Abrams   Supreme Court of the        13-Jun-07 Whether NASD arbitrators have power to recommend expungement of CRD records             Bingham McCutchen LLP     2020 K Street, NW       None.
                                   State of New York,                    pursuant to NASD Rule 2130 in light of the State of New York’s alleged property                                   Washington, DC 20006
                                   County of New York                    interest in those records, and state recordkeeping regulations.                                                   Paul J. Lambert
                                                                                                                                                                                           Marie K.N. DeBonis

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




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


          Case Name                          Court           Date Filed                                       Amicus Issue                                         Counsel of Record                Contact               Other Amici
Gredd v. Bear, Stearns Securities   U.S. District Court          7-May-07 Whether deposits into a customer’s own account with a securities broker are voidable Dickstein Shapiro LLP         1825 Eye Street, NW      None.
Corp.                               (S.D.N.Y.)                            under the Bankruptcy Code as fraudulent transfers, and whether a financial institution                             Washington, DC 20006
                                                                          that credits deposits to an accountholder thereby becomes an “initial transferee” of                               Howard Schiffman
                                                                          those deposits.                                                                                                    Eric A. Bensky

In re Scotia Pacific                U.S. Bankruptcy Court        9-Apr-07 Whether Rule 2019(a) of the Federal Rules of Bankruptcy Procedure applies to the         Milbank, Tweed, Hadley    1 Chase Manhattan Plaza Loan Syndications and
                                    (S.D. TX)                             members of ad hoc committees, who represent only their own interests and who are         & McCloy LLP              New York, NY 10005      Trading Association
                                                                          not fiduciaries for other stakeholders, such that they would be forced to disclose                                 Matthew S. Barr
                                                                          highly confidential and proprietary information.                                                                   Peter K. Newman

Ohio v. New Century Financial       Court of Common Pleas,      28-Mar-07 Whether an injunction imposed by a State on a finance company may include            Squire, Sanders &             4900 Key Tower           None.
                                    Cuyahoga County, Ohio                 provisions that restrict or delay the company's ability to service and foreclose on  Dempsey L.L.P.                127 Public Square
                                                                          delinquent mortgage loans or create an administrative oversight function pursuant to                               Cleveland, OH 44114
                                                                          which the State or its designee will assist in determining whether, when and how                                   Martha S. Sullivan
                                                                          delinquent loans will be serviced and foreclosed.                                                                  Heather L. Tonsing

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



Hadacheck v. UBS                    U.S. Court of Appeals       20-Mar-07 Whether the Federal Arbitration Act permits state law to hold unenforceable an           Munger, Tolles & Olson    355 S. Grand Avenue,    None.
                                    (Ninth Circuit)                       otherwise-valid arbitration agreement simply because one party did not specifically      LLP                       35th Floor Los Angeles,
                                                                          call the arbitration clause to the other’s attention.                                                              CA 90071
                                                                                                                                                                                             George M. Garvey
                                                                                                                                                                                             Daniel L. Geyser
In re Northwest Airlines            U.S. Bankruptcy Court       15-Mar-07 Whether Rule 2019(a) of the Federal Rules of Bankruptcy Procedure requires               Milbank, Tweed, Hadley    1 Chase Manhattan Plaza Loan Syndications and
                                    (S.D. NY)                             members of ad hoc committees and other entities acting as groups in Chapter 11           & McCloy LLP              New York, NY 10005      Trading Association
                                                                          cases to file with the court a verified statement disclosing, among other things, “the                             Matthew S. Barr
                                                                          amounts of claims or interest owned by…the members of the committee…the times                                      Peter K. Newman
                                                                          when acquired, the amounts paid therefore, and any sales or other dispositions
                                                                          thereof.”

In re Enron Corp.                   U.S. District Court         12-Mar-07 Whether equitable subordination under Section 510(c) and disallowance under              Wilmer Cutler Pickering   1875 Pennsylvania        International Swaps and
                                    (S.D.N.Y.)                            Section 502(d) can be applied, as a matter of law, to claims held by a transferee to the Hale and Dorr LLP         Avenue, NW               Derivatives Association
                                                                          same extent they would be applied if such claims were still held by the transferor.                                Washington, DC 20006     Loan Syndications and
                                                                                                                                                                                             Seth P. Waxman           Trading Association
                                                                                                                                                                                             Louis R. Cohen
                                                                                                                                                                                             Craig Goldblatt
                                                                                                                                                                                             Joel Millar
                                                                                                                                                                                             Amy Oberdorfer Nyberg
                                                                                                                                                                                             399 Park Ave
                                                                                                                                                                                             New York, NY 10022
                                                                                                                                                                                             James H. Millar




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


          Case Name                          Court               Date Filed                                       Amicus Issue                                           Counsel of Record             Contact               Other Amici
Millowitz v. Citigroup Global       U.S. Court of Appeals            30-Jan-07 Whether the rationale for applying the “fraud on the market” doctrine to issuer         Mayer, Brown, Rowe &     1909 K Street, NW        None.
Markets                             (Second Circuit)                           misstatements also applies to research analyst reports, and whether the Court should Maw LLP                     Washington, DC 20006
                                                                               extend the Basic v. Levinson , 485 U.S. 228 (1988), presumption of reliance to research                          Andrew J. Pincus
                                                                               analyst reports, thereby subjecting research analysts and their firms to suits by large                          Miriam R. Nemetz
                                                                               classes of investors, many of whom may not have been aware of the analyst’s
                                                                               opinions.                                                                                                        71 South Wacker Drive
                                                                                                                                                                                                Chicago, IL 60606
                                                                                                                                                                                                Stephen M. Shapiro
                                                                                                                                                                                                Timothy S. Bishop



Teamsters Local 445 v. Dynex        U.S. Court of Appeals            17-Jan-07 Whether plaintiffs bringing claims for securities fraud may allege scienter on the part   Sidley Austin LLP      1501 K Street, NW        U.S. Chamber of
Capital                             (Second Circuit)                           of a corporate defendant (corporate/collective scienter) without pleading scienter                               Washington, DC 20005     Commerce
                                                                               against any particular employee, where management made public statements                                         Carter G. Phillips       The Business Roundtable
                                                                               contradicted by facts 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 Appeals           13-Dec-06 Whether conduct by secondary actors may give rise to primary liability under Section       Irell & Manella LLP    1800 Avenue of the Stars The Clearing House
California v. Credit Suisse First   (Fifth Circuit)                           10(b) of the 1934 Act and Rule 10b-5 thereunder.                                                                  Suite 900                Association
Boston                                                                                                                                                                                          Los Angeles, CA 90067
                                                                                                                                                                                                David Siegel
                                                                                                                                                                                                Laura W. Brill
                                                                                                                                                                                                Jonathan P. Steinsapir




Rosenberg v. Metlife                Court of Appeals, State of       7-Dec-06 Whether a firm that files a Form U5 enjoys absolute or qualified immunity from             Orrick, Herrington &   666 Fifth Ave.           None.
                                    New York                                  defamation suits arising out of statements made on the form.                               Sutcliffe LLP          New York, NY 10103
                                                                                                                                                                                                Michael Delikat
                                                                                                                                                                                                Robert S. Whitman
Tellabs v. Makor Issues & Rights    U.S. Supreme Court               6-Dec-06 Whether the 7th Circuit’s “could infer” test satisfies the Private Securities Litigation   Mayer, Brown, Rowe &   71 South Wacker Drive    U.S. Chamber of
                                                                              Reform Act’s heightened pleading standard which requires plaintiffs bringing claims        Maw LLP                Chicago, IL 60606        Commerce
                                                                              for securities fraud to plead “with particularity” facts that give rise to a “strong                              Stephen M. Shapiro
                                                                              inference” of scienter.                                                                                           Timothy S. Bishop
                                                                                                                                                                                                Mayer, Brown, Rowe &
                                                                                                                                                                                                Maw LLP
                                                                                                                                                                                                700 Louisiana Street
                                                                                                                                                                                                Houston, TX 77002
                                                                                                                                                                                                J. Brett Busby




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


          Case Name                        Court          Date Filed                                     Amicus Issue                                          Counsel of Record                Contact                 Other Amici
In re Enron Corp. Securities,     U.S. Court of Appeals       26-Jul-06 Whether an implied cause of action exist under Section 10(b) and Rule 10b-5 against a Irell & Manella LLP        1800 Avenue of the Stars The Clearing House
Derivative and ERISA litigation   (Fifth Circuit)                       secondary actor such as a bank, which has made no misrepresentations and has no                                  Suite 900                Association
                                                                        duty of public disclosure, on the purported ground that such secondary actors                                    Los Angeles, CA 90067
                                                                        engaged in transactions with an issuer of securities, which the issuer later                                     David Siegel
                                                                        misreported.                                                                                                     Laura W. Brill

Financial Security Assurance v.   U.S. Court of Appeals       21-Jun-06 Whether a financial guaranty insurer has standing to assert a claim under Section        Morgan, Lewis & Bockius 101 Park Avenue            None.
Stephens                          (Eleventh Circuit)                    10(b) of the Securities Exchange Act of 1934, 15 U.S.C §78j(b) and Rule 10b-5, 17 C.F.R. LLP                     New York, NY 10178
                                                                        §240.10b-5, as a “purchaser” of the bonds it has insured.                                                        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 charging                 Wilmer Cutler Pickering 1875 Pennsylvania          U.S. Chamber of
Supplemental Brief                (S.D.N.Y.)                            corporations (the “Thompson Memorandum”), which treats “a corporation’s promise Hale and Dorr LLP                Avenue, NW Washington      Commerce
                                                                        of support to culpable employees and agents … through the advancing of attorneys                                 DC 20006                   Association of Corporate
                                                                        fees” as a potential basis for finding that the corporation itself has failed to                                 Howard M. Shapiro          Counsel
                                                                        “cooperat*e+” with a government investigation, violates key criminal justice principles,                         William R. McLucas
                                                                        and threatens the integrity of the employment relationship and efficient corporate                               Johnathan E.
                                                                        operations.                                                                                                      Nuechterlein Christopher
                                                                                                                                                                                         Davies

Credit Suisse v. Billing          U.S. Supreme Court         16-Apr-06 Whether federal antitrust laws are impliedly repealed as to the conduct of             Robbins, Russell, Englert, 1801 K Street, NW          U.S. Chamber of
                                                                       underwriters in initial public offerings (IPOs) such that underwriters are immune from Orseck & Untereiner LLP Suite 411                     Commerce
                                                                       lawsuits brought under the federal antitrust laws involving the pricing of IPOs.                                  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 jurisdiction to review the    Sidley Austin LLP         1501 K Street, NW          None.
                                                                       district court’s remand order, when the remand order was the result of a substantive                              Washington DC 20005
                                                                       decision rejecting a federal statutory preemption defense to certain securities fraud                             Carter G. Phillips
                                                                       class actions available under the Securities Litigation Uniform Standards Act of 1998                             Richard D. Bernstein
                                                                       (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 patent cases that a Bingham McCutchen LLP   Three Embarcadero          Futures Industry
MercExchange                                                            district court must issue a permanent injunction upon a finding of infringement,                                 Center                     Association
                                                                        absent exceptional circumstances.                                                                                San Francisco, CA 94111    Financial Services
                                                                                                                                                                                         W. Hardy Callcott          Roundtable
                                                                                                                                                                                         Monty Agarwal
                                                                                                                                                                                         Todd Pickles




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


         Case Name                       Court           Date Filed                                      Amicus Issue                                         Counsel of Record                Contact                 Other Amici
In re Enron Corp.               U.S. Bankruptcy Court        19-Jan-06 Whether, under Section 510(c) of the Bankruptcy Code, a court may subordinate the      Wilmer Cutler Pickering   2445 M Street, NW          International Swaps and
                                (S.D. NY)                              claim of an innocent purchaser of a bankruptcy claim for value and without notice of   Hale and Dorr LLP         Washington, DC 20037       Derivatives Association
                                                                       any wrongdoing by a previous holder, if the seller or previous holder committed an                               Louis R. Cohen             Loan Syndications and
                                                                       unrelated bad act against the debtor or its creditors.                                                           Craig Goldblatt            Trading Association
                                                                                                                                                                                        Wilmer Cutler Pickering
                                                                                                                                                                                        Hale and Dorr LLP
                                                                                                                                                                                        399 Park Avenue
                                                                                                                                                                                        New York, NY 10022
                                                                                                                                                                                        James H. Millar



Quaak v. Dexia                  U.S. Court of Appeals        11-Jan-06 Whether conduct by secondary actors may give rise to primary liability under Section   Sullivan & Cromwell LLP   125 Broad Street           U.S. Chamber of
                                (First Circuit)                        10(b) and Rule 10b-5 after the Supreme Court’s decision in Central Bank of Denver v.                             New York, NY 10004         Commerce
                                                                       First Interstate Bank of Denver , 511 U.S. 164 (1994).                                                           David H. Braff             The Clearing House
                                                                                                                                                                                        Michael T. Tomaino, Jr.    Association
                                                                                                                                                                                        Jeffrey T. Scott

Superadio v. Walt “Baby” Love   Commonwealth of             30-Nov-05 Whether a lawyer licensed to practice and in good standing in another U.S.              Bingham McCutchen LLP     150 Federal Street         None.
Productions                     Massachusetts, Supreme                jurisdiction engages in the unauthorized practice of law by appearing in arbitration                              Boston, MA 02110
                                Judicial Court                        proceedings held in Massachusetts.                                                                                Timothy P. Burke
                                                                                                                                                                                        Matthew C. Applebaum

Pierce County v. State of       Supreme Court of the        17-Nov-05 Whether Initiative No. I-776, which repealed certain taxes and fees that were pledged Koegen Edwards LLP          1001 Fourth Avenue         None.
Washington                      State of Washington                   as security to repay municipal bonds, violates Article I, Section 23, of the Washington                           Suite 2580
                                                                      State Constitution as it 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 Uniform Standards Act Sidley Austin Brown &         1501 K Street, NW          None.
                                                                      (SLUSA), which bars class actions based upon state law that allege “a                  Wood LLP                   Washington DC 20005
                                                                      misrepresentation or omission of a material fact in connection with the purchase or                               Carter G. Phillips
                                                                      sale of a covered security,” applies to securities class actions by persons who allege                            Richard D. Bernstein
                                                                      they held securities in reliance upon a misrepresentation or omission about a covered                             April E. Fearnley
                                                                      security.

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




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


         Case Name                            Court          Date Filed                                      Amicus Issue                                         Counsel of Record                Contact               Other Amici
Enron Corp. v. Credit Suisse First   U.S. Bankruptcy Court      21-Sep-05 Whether certain pre-petition payments made in connection with certain over-the-        Wilmer Cutler Pickering    2445 M Street, NW        International Swaps and
Boston                               (S.D. NY)                            counter equity derivatives transactions may be avoided and recovered, as preferences Hale and Dorr LLP            Washington, DC 20037     Derivatives Association
                                                                          and/or fraudulent conveyances, consistent with the safe harbor provisions set forth in                            William J. Perlstein
                                                                          Sections 546(e) and (g) of the Bankruptcy Code.                                                                   Craig Goldblatt
                                                                                                                                                                                            Johnathan E. Paikin
                                                                                                                                                                                            Caroline Rogus

Enron Corp. v. Lehman Brothers       U.S. Bankruptcy Court      21-Sep-05 Whether certain pre-petition payments made in connection with certain over-the-        Wilmer Cutler Pickering    2445 M Street, NW        International Swaps and
                                     (S.D. NY)                            counter equity derivatives transactions may be avoided and recovered, as preferences Hale and Dorr LLP            Washington, DC 20037     Derivatives Association
                                                                          and/or fraudulent conveyances, consistent with the safe harbor provisions set forth in                            William J. Perlstein
                                                                          Sections 546(e) and (g) of the Bankruptcy Code.                                                                   Craig Goldblatt
                                                                                                                                                                                            Johnathan E. Paikin
                                                                                                                                                                                            Caroline Rogus

Enron Corp. v. Bear Stearns          U.S. Bankruptcy Court        5-Jul-05 Whether pre-petition payments made in connection with certain over-the-counter      Wilmer Cutler Pickering      2445 M Street, NW        International Swaps and
                                     (S.D. NY)                             equity derivatives transactions may be avoided and recovered, as preferences and/or Hale and Dorr LLP            Washington DC 20037      Derivatives Association
                                                                           fraudulent conveyances, consistent with the safe harbor provisions set forth in                                  William J. Perlstein
                                                                           Sections 546(e) and (g) of the Bankruptcy Code.                                                                  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 Uniform Standards Act     Sidley Austin Brown &     1501 K Street, NW        None.
                                                                          (SLUSA) applies to state-law class actions by securities holders who claim that they    Wood LLP                  Washington, DC 20005
                                                                          refrained from selling securities in reliance on a misrepresentation.                                             Carter G. Phillips
                                                                                                                                                                                            Richard D. Bernstein
                                                                                                                                                                                            April E. Fearnley

Demarco v. Robertson Stephens        U.S. Court of Appeals      15-Feb-05 Whether plaintiffs satisfied the class action certification standard in a research analyst Mayer, Brown, Rowe &   190 S. Lasalle Street    None.
                                     (Second Circuit)                     case.                                                                                      Maw LLP                Chicago, IL 60603
                                                                                                                                                                                            Stephen M. Shapiro
                                                                                                                                                                                            Timothy S. Bishop
Simpson v. Homestore.com             U.S. Court of Appeals      21-Dec-04 Whether conduct by secondary actors may give rise to primary liability under Section    Sullivan & Cromwell LLP   125 Broad Street         U.S. Chamber of
                                     (Ninth Circuit)                      10(b) and Rule 10b-5 after the Supreme Court’s decision in Central Bank of Denver v.                              New York, NY 10004       Commerce
                                                                          First Interstate Bank of Denver , 511 U.S. 164 (1994).                                                            David H. Braff           The Clearing House
                                                                                                                                                                                                                     Association
In re Worldcom Securities            U.S. District Court          1-Oct-04 Whether an underwriter should be required to perform the same due diligence for a      Davis Polk & Wardwell     450 Lexington Avenue     None.
Litigation                           (S.D.N.Y.)                            shelf offering as it would for an offering involving a pre-effective waiting period.                             New York, NY 10017
                                                                                                                                                                                            Robert F. Wise, Jr.
Dura Pharmaceuticals v. Broudo       U.S. Supreme Court         13-Sep-04 Whether a plaintiff bringing a civil claim under Section 10(b) of the Securities        Sidley Austin Brown &     1501 K Street, NW        None.
                                                                          Exchange Act of 1934 and SEC Rule 10b-5 need only allege and show that he paid an Wood LLP                        Washington, DC 20005
                                                                          inflated price for the security because of a misrepresentation, or must also allege and                           Carter G. Phillips
                                                                          show that revelation of the misrepresentation or omission caused a decline in price.                              Richard D. Bernstein
                                                                                                                                                                                            Jacqueline G. Cooper
                                                                                                                                                                                            Richard H. Menard Jr.




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


         Case Name                         Court               Date Filed                                      Amicus Issue                                          Counsel of Record                 Contact                  Other Amici
American Bankers Association v.   U.S. Court of Appeals            9-Aug-04 Whether the provisions of California’s Financial Information Privacy Act that regulate   Alston & Bird LLP          601 Pennsylvania Ave.,      Investment Company
Lockyer                           (Ninth Circuit)                           the sharing of information with affiliates are preempted by the federal Fair Credit                                 NW Washington, DC           Institute
                                                                            Reporting Act and its 2003 amendments.                                                                              20004                       Investment Counsel
                                                                                                                                                                                                Thomas M. Boyd              Association of America
                                                                                                                                                                                                Jonathan V. Gould           American Insurance
                                                                                                                                                                                                Alston & Bird LLP           Association
                                                                                                                                                                                                1201 W. Peachtree St.       American Council of Life
                                                                                                                                                                                                Atlanta, GA 30309           Insurers
                                                                                                                                                                                                William H. Jordan           National Business
                                                                                                                                                                                                Matthew D. Richardson       Coalition on E-Commerce
                                                                                                                                                                                                                            and Privacy



Jevne v. Superior Court of Los    Supreme Court of the             21-Jul-04 Whether California’s arbitration standards are preempted by federal law.                Munger, Tolles & Olson     Munger, Tolles & Olson      None.
Angeles County                    State of California                                                                                                                LLP                        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. Goldman      Court of Appeals, State of        9-Jul-04 Whether an underwriter owes a fiduciary duty to an issuer with respect to the price of Cleary, Gottlieb, Steen &   Cleary, Gottlieb, Steen &   None.
Sachs                             New York                                   an initial public offering (IPO).                                                      Hamilton                    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. Goldman     Supreme Court of the              9-Jul-04 Whether an underwriter owes a fiduciary duty to an issuer with respect to the price of Cleary, Gottlieb, Steen &   Cleary, Gottlieb, Steen &   None.
Sachs                             State of New York,                         an initial public offering (IPO).                                                      Hamilton                    Hamilton
                                  Appellate Division                                                                                                                                            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 v. MBIA U.S. Court of Appeals              2-Jun-04 Whether Royal Indemnity Company failed to honor its payment obligations in a timely Sidley Austin Brown &           10 S. Dearborn Street       American Securitization
Insurance                       (Third Circuit)                             manner under certain insurance policies that it issued insuring the payment of        Wood LLP                      Chicago, IL 60603           Forum
                                                                            principal and interest in the event of a default on certain, specified student loans.                               Robert D. Aicher
                                                                                                                                                                                                T.K. Khan




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


         Case Name                        Court            Date Filed                                      Amicus Issue                                          Counsel of Record                  Contact                Other Amici
Hevesi v. Citigroup              U.S. Court of Appeals        23-Mar-04 Whether plaintiffs satisfied the class action certification standard in a research analyst Mayer, Brown, Rowe &      190 S. LaSalle Street     None.
                                 (Second Circuit)                       case.                                                                                      Maw LLP                   Chicago, IL 60603
                                                                                                                                                                                             Stephen M. Shapiro
                                                                                                                                                                                             Timothy S. Bishop
In re Enron Corp.                U.S. Bankruptcy Court        17-Mar-04 Whether payment made under over-the-counter (OTC) equity derivatives contracts      Wilmer Cutler Pickering          2445 M Street, NW         International Swaps and
                                 (S.D. NY)                              are protected by Sections 546(e) and (g) of the Bankruptcy Code from preference and LLP                              Washington, DC 20037      Derivatives Association
                                                                        fraudulent conveyance actions.                                                                                       William J. Perlstein
                                                                                                                                                                                             Craig Goldblatt
                                                                                                                                                                                             Jonathan E. Paikin
                                                                                                                                                                                             Caroline Rogus

In re Enron Corp.                U.S. Bankruptcy Court        17-Mar-04 Whether Enron’s repurchase of its commercial paper qualifies as protected settlement Allen & Overy                   1221 Avenue of the        None.
                                 (S.D. NY)                              payments that fall within the safe harbor provisions of the Bankruptcy Code.                                         Americas
                                                                                                                                                                                             New York, NY 10020
                                                                                                                                                                                             Daniel P. Cunningham
                                                                                                                                                                                             Hugh McDonald
                                                                                                                                                                                             Joshua D. Cohn
                                                                                                                                                                                             Richard S. Malish

California Public Employees’     U.S. Court of Appeals        12-Feb-04 Whether claims under the Securities Act of 1933 can be removed to federal court          Cleary, Gottlieb, Steen &   One Liberty Plaza         None.
Retirement System v. Bobbitt     (Second Circuit)                       under 28 U.S.C. § 1452, the bankruptcy removal statute.                                  Hamilton                    New York, NY 10006
                                                                                                                                                                                             Lewis J. Liman
                                                                                                                                                                                             Thomas J. Moloney
                                                                                                                                                                                             David H. Herrington
                                                                                                                                                                                             Katherine J. Roberts
Dura Pharmaceuticals v. Broudo   U.S. Supreme Court            4-Feb-04 Whether the Ninth Circuit applied the proper test for establishing “loss causation” in a Sidley Austin Brown &       1501 K Street, NW         None.
                                                                        securities fraud case.                                                                   Wood LLP                    Washington, DC 20005
                                                                                                                                                                                             Carter G. Phillips
                                                                                                                                                                                             Richard D. Bernstein
                                                                                                                                                                                             Jacqueline G. Cooper

United States v. McCall          U.S. Court of Appeals         30-Jan-04 Whether a party may cooperate with a government investigation by voluntarily            Latham & Watkins LLP        633 W. Fifth Street, Suite None.
                                 (Ninth Circuit)                         disclosing work product without waiving the privilege as to other third parties under                               4000
                                                                         the “selective waiver doctrine.”                                                                                    Los Angeles, CA 90071
                                                                                                                                                                                             James J. Farrell
                                                                                                                                                                                             Robert K. Lu
                                                                                                                                                                                             Laurie B. Smilan
                                                                                                                                                                                             David M Brodsky

McKesson HBOC v. The Superior    Court of Appeal for the      17-Nov-03 Whether a company may cooperate with a government investigation without risking          Latham & Watkins LLP        633 W. Fifth Street, Suite None.
Court of San Francisco County    State of California                    waiver of the work product privilege as to other third parties under the “selective                                  4000
                                                                        waiver doctrine.”                                                                                                    Lost Angeles, CA 90071
                                                                                                                                                                                             James J. Farrell
                                                                                                                                                                                             Robert K. Lu
                                                                                                                                                                                             Houman B. Shadab
                                                                                                                                                                                             Laurie B. Smilan
                                                                                                                                                                                             David M. Brodsky



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


          Case Name                       Court               Date Filed                                     Amicus Issue                                        Counsel of Record                 Contact               Other Amici
Knorr-Bremse Systeme Fuer        U.S. Court of Appeals            3-Nov-03 Whether the adverse inference rule hinders the ability of persons threatened with a Dilworth Paxson LLP           3200 Mellon Bank Center None.
Nutzfahrzeuge GMBH v. Dana       (Federal Circuit)                         claim of patent infringement to engage in full and frank discussion with their counsel                            1735 Market Street
Corp.                                                                      in the course of obtaining a favorable written legal opinion because of the fear that                             Philadelphia, PA 19103
                                                                           these privileged communications will have to be disclosed in order to avoid a negative                            Steven L. Friedman
                                                                           inference in a subsequent willful infringement action.                                                            Thomas S. Biemer



In re California Public          U.S. Court of Appeals           10-Oct-03 Whether claims under the Securities Act of 1933 can be removed to federal court       Cleary, Gottlieb, Steen &   One Liberty Plaza       None.
                                 (Second Circuit)                          under 28 U.S.C. § 1452, the bankruptcy removal statute.                               Hamilton                    New York, NY 10006
                                                                                                                                                                                             Lewis J. Liman
                                                                                                                                                                                             Thomas J. Moloney
                                                                                                                                                                                             David H. Herrington
                                                                                                                                                                                             Katherine J. Roberts
Marsh v. Prudential Securities   Court of Appeals, State of      27-Aug-03 Whether the practice of contingent incentive compensation is in contravention of the Paul, Weiss, Rifkind,        1285 Avenue of the      None.
                                 New York                                  New York Labor Law.                                                                  Wharton & Garrison LLP       Americas
                                                                                                                                                                                             New York, NY 10019-6064
                                                                                                                                                                                             Brad S. Karp
                                                                                                                                                                                             Daniel J. Toal
                                                                                                                                                                                             Daniel R. Garodnick

MCA Financial Corp. v. Paine     U.S. Bankruptcy Court            16-Jul-03 Whether final payments made in connection with whole loan repossession               Miller, Canfield, Paddock 150 West Jefferson, Suite None.
Webber                           (E.D. MI)                                  transactions are protected under the “forward contract” safe harbor of the           and Stone, P.L.C.         2500
                                                                            Bankruptcy Code. Because the case was settled, the brief was never filed.                                      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 Appeals            5-Jun-03 Whether a company may cooperate with a government investigation without risking       Latham & Watkins LLP      633 W. Fifth Street, Suite None.
                                 (Ninth Circuit)                           waiver of the work product privilege as to other third parties under the “selective                             4000
                                                                           waiver doctrine.”                                                                                               Lost Angeles, CA 90071
                                                                                                                                                                                           James J. Farrell
                                                                                                                                                                                           Robert K. Lu
                                                                                                                                                                                           Laurie B. Smilan
                                                                                                                                                                                           David M. Brodsky




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


         Case Name                          Court          Date Filed                                       Amicus Issue                                          Counsel of Record               Contact               Other Amici
Nuveen and Strong v. Morgan        U.S. Court of Appeals      17-Apr-03 Whether a state law modeled after the Uniform Securities Act should apply to an offer Sidley Austin Brown &        787 Seventh Avenue        None.
Keegan                             (Tenth Circuit)                      to sell securities that was neither “made in” nor “directed” to the state.            Wood LLP                     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
                                                                                                                                                                                           Joseph R. Palmore

Mayor of the City of New York v.   Supreme Court of the       28-Mar-03 Whether New York City Local Law Number 36 is preempted by the New York State              Thacher Profitt & Wood   11 West 42 nd Street     None.
Council of the City of New York    State of New York,                   Banking Law and regulations, and should be enjoined from taking effect.                                            New York, NY 10036
                                   County of New York                                                                                                                                      Kevin J. Plunkett
Equal Employment Opportunity       U.S. Court of Appeals      21-Mar-03 Whether arbitration of statutory employment claims pursuant to predispute                 Orrick, Herrington &     Old Federal Reserve Bank None.
Commission v. Luce, Forward,       (Ninth Circuit)                      arbitration agreements is appropriate and often superior to litigation.                   Sutcliffe LLP            Bldg.
Hamilton & Scripps LLP                                                                                                                                                                     400 Sansome Street
                                                                                                                                                                                           San Francisco, CA 94111
                                                                                                                                                                                           Michael Delikat
                                                                                                                                                                                           Robert S. Whitman
                                                                                                                                                                                           James H. McQuade

No. 84 Employer-Teamster Joint     U.S. Court of Appeals      13-Mar-03 Whether the absence of any market reaction to a disclosure in the form of a stock         Latham & Watkins LLP     505 Mongomery St., Suite None.
Council Pension Trust Fund v.      (Ninth Circuit)                      price drop is fatal to a plaintiff invoking “fraud-on-the-market” to establish reliance                            1900
America West Holding Corp.                                              and materiality as elements of their 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” jurisdiction under Section Cleary, Gottlieb, Steen &   One Liberty Plaza         None.
Retirement System v. Ebbers        (S.D.N.Y.)                            1334(b) of the Judicial Code where the defendant underwriters had contribution or     Hamilton                    New York, NY 10006
                                                                         indemnity rights against a bankrupt issuer.                                                                       Jennifer L. Kroman




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