In this issue:
- JOBS Act: SEC Proposes Rules Regarding Solicitation and Advertising in Securities Offerings
- SEC Increases Listing Fees for Fiscal Year 2013
- JOBS Act: SEC Proposes Rules Regarding Solicitation and Advertising in Securities Offerings
- SEC Issues Risk Alert on MSRB “Pay-To-Play” Prohibitions
- Withholding on Derivatives Is Postponed
- NFA Registration Requirements for Swap FCMs, IBs, CPOs and CTAs
- NFA Establishes Pre-Filing Option for Current 4.13(a)(4) Pools
- CFTC Approves Conforming Amendments for CPO and CTA Regulations
- CFTC Issues Final Rules Related to Swap Trading Relationship Documentation, Swap Confirmations, and Swap Portfolio Reconciliation and Compression
- District Court Grants SEC’s Motion Seeking Final Judgment for Disgorgement Against Ponzi Scheme Defendants
- Ninth Circuit Find Defendant in Violation of FTC Consent Decree and Affirms District Court’s Contempt Order
- Agencies Issue Proposed Rule on Appraisals for Higher-Risk Mortgages
- Consumer Financial Protection Bureau Proposes Rues to Bring 'Greater Accountability' to Mortgage Market
- Consumer Financial Protection Bureau Releases Exam Procedures for Consumer Reporting Market
- OCC Rescinds Documents
- FSA Consults on Client Assets Regime Changes
- European Commission Consultation on Benchmarks and Market Indices
An excerpt from "European Commission Consultation on Benchmarks and Market Indices" -
On September 5, the European Commission published a Consultation Document on the Regulation of Indices in which it sought views on a possible new regulatory framework to be applicable to the production and use of indices serving as benchmarks in financial and other contracts.
Please see full newsletter below for more information.
