In this issue:

- SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution

- Delaware Court of Chancery Rejects Entire Fairness Review in Absence of Conflicted Transaction

- FINRA Adds a Category of Persons to Serve on Disciplinary Hearings

- CFTC Interprets Obligations to Send Initial Margin Segregation Notices and Reports

- CFTC Proposes to Revise Residual Interest Deadline for FCMs

- CFTC Proposes to Amend Recordkeeping Requirements

- CFTC Grants Relief to IB Entering Into Give-Up Arrangements

- NFA Changes Public Display of FCM Financial Information on BASIC

- JAC Maintains Current Restrictions on Trading While Undermargined and Publishes Summary of Residual Interest Requirements

- UK Treasury Calls for Information on Digital Currencies

- SEC Approves New Exchange Traded Mutual Fund Structure

- SEC Investment Management Director Speech Focuses on Alternative Mutual Fund Disclosures

- Raj Rajaratnam Appeals $92 Million Civil Fine to Second Circuit Court of Appeals

- SEC Charges Former Pharmaceutical Executive and Close Friend With Insider Trading

- Restrictions on the Retail Distribution of CoCos and Other Regulatory Capital Instruments

- Excerpt from SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution:

On November 5, the Securities and Exchange Commission announced enforcement actions against 10 companies for failing to make the required disclosures about financing deals and other unregistered sales that diluted their stock.