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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

GDPR—One Month to Go: Considerations for US Asset Managers

The European Union's General Data Protection Regulation (GDPR)1 will become law in all European Union (EU) and European Economic Area (EEA) member states (including the United Kingdom, notwithstanding Brexit) one month from...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 Developments

BROKER-DEALER - FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule On January 8, the Financial Industry Regulatory Authority (FINRA) requested comment on proposed...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 Derivatives; CFTC; UK and EU Developments

CFTC - CFTC Approves Exemption From SEF Registration Requirements for Multilateral Trading Facilities and Organized Trading Facilities Authorized Within the EU - On December 8, in response to a request by the European...more

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

BROKER-DEALER - FINRA Requests Further Comments on the Effectiveness and Efficiency of Its Payments for Market Making Rule - On November 28, as part a retrospective rule review, the Financial Industry Regulatory...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

The EU PRIIPs Regulation for Fund Managers

With the vast majority of European Union (EU) regulatory focus recently having been on the Markets in Financial Instruments Directive (MiFID II), it is important not to overlook the impending implementation of the EU's...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

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