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Corporate & Financial Weekly Digest, Featuring Articles on FINRA Changes to TRACE Reporting and the European Commission's Latest Regulatory Updates in Response to COVID-19

July 31, 2020

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To read the Digest online, click here.

This week's issue addresses the following topics:

  • SEC and FDIC Adopt Final Rule on the Orderly Liquidation of Covered Broker-Dealers Under Dodd-Frank
  • SEC Announces Creation of the Event and Emerging Risk Examination Team in the Office of Compliance Inspections and Examinations
  • FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot and Portfolio Trades
  • Upcoming Effective Date of Amendments to FINRA Rule 6730 (Transaction Reporting)
  • FINRA Proposes Extension to Temporary Rule Change of Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules
  • SEC Seeking Comments on Adoption of FINRA Rule 3241
  • FINRA Publishes FAQ on Interactive Virtual Business Entertainment Events
  • London Weekly Fireside Chat
  • FCA Launches Enhanced Financial Services Register
  • COVID-19: European Commission Adopts a Set of Measures for the Recovery of EU Capital Markets
  • COVID-19: European Commission Adopts Proposal to Amend Prospectus Regulation
  • ESMA Updates Transparency Opinions for Third-Country Trading Venues Under MiFID II
  • ESMA Statement on Its Intention to Postpone the CSDR Settlement Discipline Regime
  • ESMA Confirms Extension of 0.1 Percent Net Short Position Reporting in EU Shares Until September 17

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