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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Written by:

Published In:

SEC

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.

© Katten Muchin Rosenman LLP | Attorney Advertising

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