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Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Proposed Supplemental Liquidity Schedule and ESMA's Exploration...

BROKER-DEALER - Notice of Filing of a Proposed Rule Change to Adopt a Supplemental Liquidity Schedule - The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority (FINRA)...more

Corporate & Financial Weekly Digest, Featuring Articles on the SEC's Plan to Review Climate-Change Disclosures and Clarity From...

SEC/CORPORATE - Acting SEC Chair Issues Statement on Climate-Change Disclosures - On February 24, acting Chair of the Securities and Exchange Commission Allison Herren Lee issued a statement that she has directed the...more

Corporate & Financial Weekly Digest, Featuring Articles on Audit Regulations Under the HFCAA, Approval of the NFA's Swap Dealer...

SEC/CORPORATE - Holding Foreign Companies Accountable Act Signed Into Law by President Trump - In December 2020, President Donald Trump signed into law the Holding Foreign Companies Accountable Act (the HFCAA). The...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC proposes amendments to Rule 144, Elad Roisman named Acting Chairman...

SEC/CORPORATE - SEC Proposes Rule 144 Tacking Amendments - On December 22, 2020, the Securities and Exchange Commission voted to propose amendments to Rule 144 under the Securities Act of 1933 (the Securities Act)...more

Corporate & Financial Weekly Digest, Featuring Articles on LabCFTC's Digital Assets Primer and the FCA and HM Treasury Make...

BROKER-DEALER - SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative Regulation - On December 16, the Securities and Exchange Commission announced that it adopted a rule to limit the...more

Corporate & Financial Weekly Digest, Featuring Articles on NASDAQ Seeks Approval of Board Diversity Rule with SEC, CFTC's Timing...

SEC/CORPORATE - SEC Adopts Amendments to MD&A and Other Financial Disclosures - On November 19, the Securities and Exchange Commission announced that it adopted amendments (the Amendments) to certain financial...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Review of Waiver and Rebate Systems and ESMA Publishes Draft...

BROKER-DEALER - FINRA Conducts Review of Waiver and Rebate Systems and Procedures with Respect to Mutual Fund ROR Purchases The Financial Industry Regulatory Authority (FINRA) announced that it is conducting a review of...more

Corporate & Financial Weekly Digest, Featuring Articles on a SEC and CFTC Joint Letter on Disqualification Rules, OCC Final "True...

BROKER-DEALER - SEC and CFTC Chairman Issue Joint Letter Regarding CFTC Orders Implicating Regulations A and D - On October 23, Chairman Jay Clayton of the Securities and Exchange Commission and Chairman Heath P....more

Corporate & Financial Weekly Digest, Featuring Articles on the SEC's Modernized Auditor Independence Rules, FINRA Guidance on...

SEC/CORPORATE - SEC Adopts Amendments to Modernize Auditor Independence Rules - On October 16, the Securities and Exchange Commission adopted amendments (the Amendments) to its long-standing auditor independence rules....more

Corporate & Financial Weekly Digest, Featuring Articles on the CFTC's Extension of No-Action Relief for Reporting Obligations...

BROKER-DEALER - FINRA Requests Comment on Proposed Proceeding Rule for Failures to Comply With Qualification Examinations Rules of Conduct, Registration Requirements and Eligibility Proceedings Rules - On September 22,...more

Corporate & Financial Weekly Digest, Featuring Articles on the Latest C&DIs From the SEC and FCA Tools for Making the LIBOR...

SEC/CORPORATE - SEC Issues C&DI on Use of Form S-3 by SPACs - On September 21, the Division of Corporation Finance of the Securities and Exchange Commission issued a new Compliance and Disclosure Interpretation (C&DI)...more

Corporate & Financial Weekly Digest, Featuring Articles on Modernized Disclosures by SEC for Banking Registrants, New Guidance by...

BROKER-DEALER - SEC Amends Exchange Act Rule 15c2-11 to Enhance Retail Investor Protections and Modernize Governing Quotations for Over-the-Counter Securities - On September 16, the Securities and Exchange Commission...more

Corporate & Financial Weekly Digest, Featuring Articles on New NYSE Direct Listing Rules from the SEC, a CFTC No-Action Letter...

SEC/CORPORATE - SEC Stays Implementation of New NYSE Direct Listing Rules - As discussed in the August 31, 2020 edition of the Corporate & Financial Weekly Digest, on August 26, the Securities and Exchange Commission...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Updates to Risk Disclosures and a Request for Comment on...

BROKER-DEALER - FINRA Releases an Updated Security Futures Risk Disclosure Statement - On August 14, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-28 that included an updated Security...more

Corporate & Financial Weekly Digest, Featuring Articles on a Customer Warning from the CFTC About Precious Metal Schemes, a...

CFTC - CFTC Warns Customers About Precious Metal Schemes - On August 4, the Commodity Futures Trading Commission’s Office of Customer Education and Outreach (the OCEO) issued a Customer Advisory regarding suspicious...more

Corporate & Financial Weekly Digest, Featuring Articles on New Standardized Approaches to Cybersecurity Preparedness, FINRA's...

SEC/CORPORATE - SEC Approves Extension of Temporary NYSE Waiver of Stockholder Approval Rules - Recently, the Securities and Exchange Commission issued a release (the Release) approving, with immediate effectiveness,...more

Corporate & Financial Weekly Digest, Featuring Articles on Additional LIBOR Replacement Materials from the ARRC, Amendments to...

BROKER-DEALER - FINRA Announces Updates to Interpretations of Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts - On July 2, the Financial Industry Regulatory Authority (FINRA) issued...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Releases White Paper on Artificial Intelligence, OCC Promulgates...

BROKER-DEALER - FINRA Revises Problem Codes for Reporting Customer Complaints and for Filing Documents Online - On June 10, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-17, which...more

Corporate & Financial Weekly Digest, Featuring Articles on CBOE Exchange to Temporarily Extend Filing Deadline for Certain...

BROKER-DEALER - CBOE Exchange Proposes to Temporarily Extend the Filing Deadline for Certain Supervision-Related Reports - On June 1, Cboe Exchange, Inc. (Cboe) filed with the Securities and Exchange Commission a...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC Issues New Compliance and Disclosure Interpretations Related to...

SEC Division of Corporation Finance Issues New C&DIs about the SEC’s Conditional Relief Order and Compliance with Rule 12b-25 - On March 31, the Securities and Exchange Commission’s (SEC) Division of Corporation Finance...more

Corporate & Financial Weekly Digest, Featuring Articles on the Regulatory Response to COVID-19 Related Market Issues

SEC/CORPORATE - SEC Amends the Definitions of “Accelerated Filer” and “Large Accelerated Filer” - The Securities and Exchange Commission recently adopted amendments to the definitions of “Accelerated Filer” and...more

Corporate & Financial Weekly Digest, Featuring Articles on Updates to Continuing Ed for Securities Professionals and Reviews of...

BROKER-DEALER - SEC Proposes to Modernize Infrastructure for NMS Securities Market Data - On February 14, the Securities and Exchange Commission proposed to modernize the infrastructure for the collection,...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Issues Investor Alert on Required Minimum Distributions, IOSCO...

BROKER-DEALER - FINRA Issues Investor Alert Regarding Required Minimum Distributions - The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert regarding a new law raising the age for required...more

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