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Securities Industry and Financial Markets Association v. Ashcroft et al

  1. August 14, 2024

    Judge Blocks Missouri's Anti-ESG Rules, Handing SIFMA Win

    A Missouri federal judge found Wednesday that the state's anti-ESG rules for brokers and advisers violate the First Amendment and are preempted by federal laws, handing the Securities Industry and Financial Markets Association an early win in its suit against state officials.

  2. June 11, 2024

    SIFMA, Missouri Seek Early End To Anti-ESG Rules Suit

    The Securities Industry and Financial Markets Association and Missouri state officials have filed dueling summary judgment bids in SIFMA's suit over the state's anti-ESG rules for brokers and advisers, with SIFMA claiming the rules violate the First Amendment, and both sides painting the issue as a matter of states' rights versus federal preemption.

  3. January 05, 2024

    Missouri Must Face SIFMA Challenge To Anti-ESG Rules

    A Missouri federal judge Friday refused to toss a Wall Street industry group's legal challenge to the state's anti-ESG rules requiring brokers and advisers to get client signatures before giving financial advice incorporating social objectives, holding the group had sufficiently claimed violations of the First Amendment, federal preemption and unconstitutional vagueness.

  4. January 01, 2024

    The Legal Battles Over ESG And DEI To Watch In 2024

    In 2024, courts across the U.S. are likely to weigh in on some of the most politically charged legal battles over corporate and regulatory efforts to prioritize environmental, social and governance initiatives, with the future of corporate diversity policies, anti-pollution efforts and corporate greenwashing hanging in the balance.

  5. December 07, 2023

    Missouri's 'Games' Can't Save Anti-ESG Rules, SIFMA Says

    Wall Street's top trade group is accusing Missouri of playing "word games" in an attempt to escape a lawsuit over its allegedly unconstitutional rules requiring investment advisers and broker-dealers to disclose whether they make investment decisions based on a corporation's environmental or social policies.

  6. November 07, 2023

    Missouri Aims To Duck Industry Challenge To 'Anti-ESG' Regs

    Missouri on Monday urged a federal judge to toss a securities industry group's lawsuit challenging recently adopted state rules that require brokers and advisers to get client signatures before they give financial advice that "incorporates a social objective," such as environmental goals.

  7. November 06, 2023

    ESG Practices Take Hits, But Aren't Going Anywhere

    After more than a year of being buffeted by anti-ESG rhetoric and actions by red state attorneys general and lawmakers, investment managers and companies have quieted their crowing about environmental, social and governance practices but have not abandoned them.

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