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
