投资者律师博客上诉法院说
Recently, the U.S. Court of Appeals for the Second Circuit dismissed Standard Investment Chartered Inc.’s lawsuit against the Financial Industry Regulatory Authority, New York Stock Exchange Group Inc., and NASD over alleged misstatements in a proxy to obtain member approval for bylaw changes that ultimately resulted in the creation of FINRA. In a per curiam decision, the court held that self-regulatory organizations and their officers are immune from lawsuits over bylaw amendments because these are “inextricable” from the SRO’s regulatory roles.
原告，经纪交易商和前NASD成员标准投资宪章公司声称，NASD和某些官员在代理声明中发出了重大陈述，该声明征求了章程修正案的批准，因此NASD与NYSE Congulation Inc.之间的合并变得合并。Finra会发生。经纪交易商争辩说，代理声明歪曲了35,000美元是国税局授权NASD向成员支付工会成员的最多。
Last March, the U.S. District Court for the Southern District of New York dismissed Standard Investment Chartered Inc.’s lawsuit, as well as a similar claim submitted by NASD member Benchmark Financial Services Inc. The court said that the union between the SROs was “entitled to absolute immunity” because it was part of their delegated regulatory functions. Standard Investment Chartered appealed the ruling.
现在，第二巡回法院确认了地方法院的裁决。法院还指出，未经证券交易委员会的批准，纳斯州无法更改其章程。bob200体育
诉讼中的其他被告包括证券交易委员会主席玛丽·沙皮罗（Mary Schapiro）bob200体育，他是NASD的首席执行官，当时监管机构与纽约证券交易所，Pershing LLC主席Richard Brueckner和FINRA高级副总裁Howard Schloss合并。
相关的网络资源：
上诉法院坚持下级法院对FINRA损害诉讼的裁决，彭博，2011年2月23日
法院发现，SROS免于对章程变更的诉讼，以实现FINRA创建，BNA - 证券法日报，2011年2月23日bob200体育
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