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Corporate and Financial Weekly Digest Blog

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FINRA Publishes 2021 Industry Spotlight

USA - May 28 2021 On May 25, the Financial Industry Regulatory Authority (FINRA) published the 2021 FINRA Industry Spotlight (Industry Spotlight), which is FINRA’s…

FINRA Publishes 2021 Budget

USA - May 28 2021 The Financial Industry Regulatory Authority (FINRA) has published its 2021 Annual Budget Summary (Budget Summary), which outlines how FINRA plans to…

Effective Date for NFA Member Swap Dealer and Major Swap Participant Dues Increases

USA - May 28 2021 On May 24, the National Futures Association (NFA) issued Notice to Members 1-21-16, announcing the effective date for NFA Member swap dealer and…

CFTC Staff Publishes Updated Responses to FAQs Regarding Commission Regulation 4.27 and Form CPO-PQR

USA - May 28 2021 On May 26, Commodity Futures Trading Commission’s Market Participants Division (MPD) published updated responses to Frequently Asked Questions…

CFTC Announces Agricultural Advisory Committee Meeting

USA - May 28 2021 On May 25, the Commodity Futures Trading Commission announced that on June 9, from 10:00 a.m. To 12:00 p.m., the Agricultural Advisory Committee…

Notice of Filing of a Proposed Rule Change to Adopt a Supplemental Liquidity Schedule

USA - May 21 2021 The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority (FINRA) proposal to adopt a Supplemental…

ESMA Recommends Permanently Lowering the Reporting Threshold for Net Short Positions to 0.1 Percent

European Union - May 21 2021 On May 20, the European Securities and Markets Authority (ESMA) proposed to the European Commission (Commission) a permanent reduction to the…

European Commissioner Speech on AML and CTF Action Plan Reforms

European Union - May 21 2021 On May 18, a speech by the European Commissioner for Financial Services, Financial Stability and Capital Markets Union was published outlining…

Consolidated Audit Trail Publishes New Roadmap to Assist Small Firms With Reporting Obligations

USA - May 14 2021 On May 7, Consolidated Audit Trail, LLC and FINRA CAT, LLC (CAT) published a new roadmap to assist Small Firms with their reporting obligations for…

UK Government Publishes Guidance on Supply of Emissions Allowances in UK ETS

European Union, United Kingdom - May 14 2021 On May 10, the UK Government published its guidance on the supply of emissions allowances in the UK Emissions Trading Scheme (UK ETS). The UK ETS was…