Corporate and Financial Weekly Digest - January 18, 2013

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In this issue:

- SEC Approves NYSE and NASDAQ New Compensation Committee and Adviser Listing Standards

- SEC Extends No-Action Letter Permitting Broker-Dealers to Rely on Certain Investment Advisers to Conduct Customer Identification Program Obligations

- FINRA Issues Annual Regulatory and Examination Priorities Letter for 2013

- CFTC Issues Exemptive Order to ICE Clear Credit Permitting Commingling and Portfolio Margining of Cleared Credit Default Swaps and Security-Based Swaps

- Life Sciences Company Obtains Dismissal of Shareholder Class Action

- Delaware Supreme Court Refines Standard for Missed Pre-Trial Deadlines

- Consumer Financial Protection Bureau Releases Final Mortgage Servicing Rules

- FTC Announces New Filing Thresholds for Hart-Scott-Rodino Pre-Merger Notifications

An excerpt from "FTC Announces New Filing Thresholds for Hart-Scott-Rodino Pre-Merger Notifications"

The Federal Trade Commission has announced the new notification thresholds for pre-merger notification reports that must be filed under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (HSR Act). The notification thresholds are adjusted every year for inflation. The new thresholds go into effect on February 11, 2013.

Please see full newsletter below for more information.

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Topics:  Broker-Dealer, CFPB, CFTC, FINRA, FTC, Hart-Scott-Rodino Act, Nasdaq, NYSE, Qualified Mortgage Rule, SEC, Shareholder Litigation, Swaps, Threshhold Requirements

Published In: Antitrust & Trade Regulation Updates, General Business Updates, Finance & Banking Updates, Residential Real Estate Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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