In This Issue:

- Meeting of the SEC Advisory Committee on Small and Emerging Companies

- FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring Representative

- CFTC Issues Relief From IB and CTA Registration to Foreign Persons Dealing in Swaps for International Financial Institutions

- District Court Dismisses Data Breach Class Action Against GameStop, Inc.

- Fourth Circuit Affirms Conviction in Virginia Bank Fraud Case

- Six Federal Regulators Issue Final Interagency Policy Statement on Diversity Policies and Practices of Regulated Entities

- British Bankers’ Association Response to European Banking Authority Remuneration Consultation

- UK Authorities Publish Fair and Effective Markets Review Final Report

- Excerpt from CFTC Issues Relief From IB and CTA Registration to Foreign Persons Dealing in Swaps for International Financial Institutions:

On June 4, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued no-action relief from introducing broker (IB) and commodity trading advisor (CTA) registration to persons located outside the United States engaged in swaps activities for specified supranational banks and development organizations, such as the International Monetary Fund and the International Bank for Reconstruction and Development (World Bank), that have offices in the United States (international financial institutions or IFIs).