In this issue:
- SEC Issues New FAQs on Conflict Minerals
- SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule
- FINRA Requests Comment on Rules Regarding Communications with the Public and Gifts, Gratuities and Non-Cash Compensation
- CFTC Extends Relief to FCMs from Certain Commingling Requirements
- CFTC Seeks Comments on ICE Clear Europe Petition
- CFTC Reissues and Clarifies Relief Regarding Swaps Trading on MTFs
- Foreign Judgment in Criminal Fraud Action Enforceable in New York
- SEC Obtains Settlement for Violations of Registration Rules and “Layering”
- Banking Agencies Adopt Enhanced Supplementary Leverage Ratio Final Rule
- Federal Reserve Extends Compliance Deadline for CLOs
- Excerpt from SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule:
The Securities and Exchange Commission’s Division of Trading and Markets has issued frequently asked questions (FAQ) concerning the amendments adopted on July 30, 2013, to Rule 17a-5 (Broker-Dealer Reporting Rule) of the Securities Exchange Act of 1934 (Exchange Act).
Please see full newsletter below for more information.
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