The Committee on Capital Markets Regulation (CCMR) issued a letter to derivatives regulators for the European Securities and Markets Authority (ESMA), the European Commission, and the Commodity Futures Trading Commission...more
On 19 December 2012 the European Commission adopted nine regulatory and implementing technical standards for the regulation of OTC derivatives, central clearing and trade repositories. These standards were...more
In this issue:
- Nallengara to Replace Cross as Corp. Fin. Chief
- FINRA Rule Relating to Private Placements of Securities Effective December 3
- Additional Guidance on FINRA’s Suitability Rule
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