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Corporate & Financial Weekly Digest, Featuring Topics on SEC/Corporate, CFTC, Derivatives, Brexit and EU Developments

SEC/CORPORATE - SEC Division of Corporation Finance Issues C&DIs on Proxy Rules and Proxy Statements, Overhauling Telephone Interpretations Manual - On May 11, the staff of the Division of Corporation Finance of the...more

5/21/2018  /  C&DIs , CFTC , DSIO , EU , India , Legal Entity Identifiers , MLD5 , SEC , UK , UK Brexit

Corporate & Financial Weekly Digest, Featuring Topics on SEC, Broker/Dealer and UK/EU/Brexit Developments

SEC/CORPORATE - SEC Guidance Expanding Exclusions for Non-GAAP Information - The Securities and Exchange Commission’s Division of Corporation Finance issued two new Compliance and Disclosure Interpretations (C&DI),...more

Corporate & Financial Weekly Digest, Featuring Topics on Broker/Dealer, CFTC and UK/EU Developments

BROKER-DEALER - FINRA Seeks Comment on Rule Proposal Regarding High-Risk Brokers - On May 30, the Financial Industry Regulatory Authority published Regulatory Notice 18-16, which seeks comment on proposed rule...more

Corporate & Financial Weekly Digest, Featuring Topics on Broker-Dealer, CFTC, Derivatives and EU Developments

BROKER-DEALER - FINRA Publishes Regulatory Notice Regarding 2018 GASB Accounting Support Fee - On April 17, the Financial Industry Regulatory Authority issued Regulatory Notice 18-12, which announces that FINRA will...more

Corporate & Financial Weekly Digest, Featuring Topics on Broker/Dealer and UK/EU Developments

BROKER-DEALER - Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits - The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to...more

Corporate & Financial Weekly Digest, Featuring Topics on SEC and UK/EU/Brexit Developments

SEC/CORPORATE - Delaware State Bar Association Council Releases Proposed Amendments to the Delaware General Corporation Law - The Corporate Council of the Corporation Law Section of the Delaware State Bar Association...more

Corporate & Financial Weekly Digest, Featuring Topics on Broker-Dealer, CFTC, Brexit and UK and EU Developments

BROKER-DEALER - FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule - On March 23, the Financial Industry Regulatory Authority (FINRA) announced it is conducting a retrospective...more

Corporate & Financial Weekly Digest, Featuring Topics on Brexit and UK and EU Developments

UK DEVELOPMENTS - FMSB Releases Draft Standard for Compensating Trade Errors - On March 20, the Fixed Income, Commodities and Currency Markets Standards Board (FMSB) published a draft of its transparency standard on...more

3/26/2018  /  Corporate Governance , EU , FinTech , UK Brexit

Corporate and Financial Weekly Digest, Featuring Topics on Broker-Dealer, CFTC, Derivatives, Brexit and UK and EU Developments

BROKER-DEALER - SEC Proposes Transaction Fee Pilot Program On March 14, the Securities and Exchange Commission proposed new Rule 610T of Regulation National Market System (Reg NMS), which would create a Transaction Fee...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer and UK/EU/Brexit Developments

BROKER-DEALER - SEC Releases Statement on Platforms Trading Digital Assets - On March 7, the Securities and Exchange Commission released an advisory regarding platforms used to trade digital assets. The SEC expressed...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, CFTC and UK/EU/Brexit Developments

BROKER-DEALER - FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities On February 26, the Financial Industry Regulatory Authority released Regulatory Notice 18-08, which solicits comments on...more

Corporate and Financial Weekly Digest, Featuring Topics on CFTC, Litigation, Derivatives and UK Developments

CFTC - CFTC and UK Financial Conduct Authority Sign Cooperation Arrangement on Financial Technology Innovation - On February 19, the Commodity Futures Trading Commission and the UK Financial Conduct Authority (FCA)...more

Corporate and Financial Weekly Digest, Featuring Topics on SEC/Corporate, Broker/Dealer, CFTC and UK/EU Developments

SEC/CORPORATE - SEC Proposes Budget for Fiscal Year 2019 - On February 12, the Securities and Exchange Commission issued a press release announcing its budget request for fiscal year 2019, which represents a 3.5 percent...more

2/19/2018  /  Broker-Dealer , CFTC , Cybersecurity , EU , SEC , UK

Corporate and Financial Weekly Digest, Featuring Topics on SEC/Corporate, Broker-Dealer, Derivatives and UK/EU Developments

SEC/CORPORATE - SEC Approves NYSE Rule to Facilitate Listing Without an IPO - On February 2, the Securities and Exchange Commissions approved a New York Stock Exchange (NYSE) rule change that facilitates the listing...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, Antitrust, and UK/Brexit/EU Developments

BROKER-DEALER - FINRA Proposes Rule Change To Provide Additional Hearing Options for Parties in Certain Arbitrations - On January 30, the Financial Industry Regulatory Authority filed a proposed rule change with the...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker-Dealer, Derivatives, CFTC and UK/EU Developments

BROKER-DEALER - FINRA Proposes Rule Change Related to the Content of the Securities Industry Essentials Examination - On January 12, the Financial Industry Regulatory Authority (FINRA) filed with the Securities and...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker-Dealer, Derivatives, CFTC and UK/Brexit/EU DevelopmentsCorporate...

BROKER-DEALER - FINRA Releases 2018 Regulatory and Examination Priority Letter - On January 8, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priority Letter detailing...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, Derivatives, CFTC and UK/Brexit/EU Developments

BROKER-DEALER - SEC Provides Notice of Fixed Income Market Structure Advisory Committee - The Securities and Exchange Commission Fixed Income Market Structure Advisory Committee recently announced that it will hold a...more

Corporate and Financial Weekly Digest, Featuring Topics on SEC/Corporate, Broker/Dealer, Derivatives, CFTC and UK/Brexit/EU...

FASB Ceases Work on Proposal To Amend Definition of “Materiality” for US GAAP - As previously discussed in the September 1edition of Corporate & Financial Weekly Digest, the Financial Accounting Standards Board (FASB) had...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, Derivatives, CFTC and UK/EU Developments

BROKER-DEALER - FINRA Releases New Targeted Exam Letter Regarding Order Routing Conflicts - On November 10, the Financial Industry Regulatory Authority released the contents of a new Order Routing Conflicts targeted...more

Corporate and Financial Weekly Digest - Volume XII, Issue 43

SEC/CORPORATE - On November 1, the Division of Corporation Finance of the Securities and Exchange Commission (Division) published Staff Legal Bulletin No. 14I (SLB 14I), which provides new, issuer-friendly guidance on...more

Corporate and Financial Weekly Digest - Volume XII, Issue 42

SEC/CORPORATE - SEC Division of Corporation Finance Issues C&DI Clarifying Exemptions for Non-GAAP Information in Forecasts for M&A Transactions - On October 17, the staff of the Securities and Exchange Commission’s...more

Corporate and Financial Weekly Digest - Volume XII, Issue 41

SEC/CORPORATE - SEC Approves PCAOB Rule to Require Enhanced Audit Reports - On October 23, the Securities and Exchange Commission approved new audit reporting standard, AS 3101, proposed by the Public Company Accounting...more

Corporate and Financial Weekly Digest - Volume XII, Issue 40

SEC/CORPORATE - SEC-Proposed Amendments to Modernize, Simplify and Increase the Accessibility of Required Disclosure - As previously reported in the October 13, 2017 edition of Corporate & Financial Weekly Digest, on...more

Corporate and Financial Weekly Digest - Volume XII, Issue 39

SEC/CORPORATE - SEC Announces Rule Proposal to Modernize, Simplify and Increase the Accessibility of Required Disclosure - On October 11, the Securities and Exchange Commission issued a press release announcing that it...more

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