Corporate and Financial Weekly Digest - Volume X, Issue 6

In this issue:

- SEC Publishes Rules for Reporting Security-Based Swaps

- SEC Proposes Rules for Disclosure of Companies’ Hedging Policies

- CFTC Extends Relief From Certain OCR Requirements

- NFA Modifies EasyFile for Pool Annual Financial Statements

- Eleventh Circuit Affirms Conviction of Haitian Telecommunications Executive for Role in a Bribery Scheme

- Eleventh Circuit Affirms Arbitration Dismissal in Favor of Investor’s Estate in Clawback Suit

- FDIC Issues Private Letter to Elaborate on Brokered Deposit FAQ

- OCC Releases Bulletin Summarizing Interim Final Rule on Subordinated Debt Issued by National Banks

- Agencies Issue Tool for Calculating Capital Requirements for Securitization Exposures

- OCC Issues Revised Comptroller’s Handbook Booklet on Deposit-Related Consumer Credit

- OCC Issues Revised Comptroller’s Handbook Booklet on Personal Fiduciary Activities

- FCA Releases Updated Transaction Reporting User Pack

- FCA Reviews Regulatory Regime for Crowdfunding and Promotion of Non-Readily Realizable Securities by Other Media

- ESMA Publishes Technical Advice on New EU Market Abuse Regime

- Excerpt from SEC Publishes Rules for Reporting Security-Based Swaps:

On February 11, the Securities and Exchange Commission published the texts for two final rules and one proposed rule relating to the reporting of security-based swaps (SBS) that were adopted by the SEC in a meeting on January 14. These rules create a reporting regime for SBS that is equivalent to the reporting regime that the Commodity Futures Trading Commission has already created for swaps pursuant to requirements in the DoddFrank Act.

Please see full Newsletter below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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