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Corporate and Financial Weekly Digest Blog

Articles: 1-10 of 2211

FINRA Issues Guidance on Public Offerings

USA - September 18 2020 On September 15, the Financial Industry Regulatory Authority (FINRA) issued guidance on public offerings, outlining the obligations of FINRA member…

CFPB Publishes Proposals to Implement Small Business Lending Data Collection Rulemaking

USA - September 18 2020 In connection with the requirements set forth in Section 1071 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Section 1071), the…

CFTC Staff Provides No-Action Relief to Registrant from SEF Reinstatement Requirements

USA - September 18 2020 On September 15, the Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) granted no-action relief to Tassat Derivatives…

CFTC Further Extends Certain No-Action Relief to Market Participants in Response to COVID-19

USA - September 18 2020 On September 11, the Commodity Futures Trading Commission (CFTC) announced that the Division of Swap Dealer and Intermediary Oversight (DSIO) and the…

SEC Releases Report and Recommendations in Connection With The 39th Annual Small Business Forum

USA - September 18 2020 On September 14, the Securities and Exchange Commission released its report and recommendations in connection with the Annual Small Business Forum…

SEC Amends Exchange Act Rule 15c2-11 to Enhance Retail Investor Protections and Modernize Governing Quotations for Over-the-Counter Securities

USA - September 18 2020 On September 16, the Securities and Exchange Commission adopted amendments to the Securities Exchange Act of 1934 (Exchange Act) Rule 15c2-11 to…

SEC Modernizes Disclosures for Banking Registrants

USA - September 18 2020 On September 11, the Securities and Exchange Commission announced that it had adopted rules that update and expand the statistical disclosures that…

ECON Announces Implementation of Draft Report on Digital Finance and FinTech

European Union, USA - September 18 2020 On September 11, the European Parliament’s Economic and Monetary Affairs Committee (ECON) published a press release announcing the adoption of its…

AML: FATF ‘Red Flags’ associated with Cryptoassets

USA - September 18 2020 On September 14, the Financial Action Task Force (FATF) published a report on cryptoassets (which the FATF refers to as virtual assets (VAs)) with…

CFTC Staff Issue Supplemental Advisory and Time-Limited No-Action Relief on Treatment of Separate Accounts by FCMs

USA - September 18 2020 On September 15, the staff of the Commodity Futures Trading Commission’s (CFTC) Division of Clearing and Risk (DCR) and Division of Swap Dealer and…