To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Amends Exchange Act Rule 15c2-11 to Enhance Retail Investor Protections and Modernize Governing Quotations for Over-the-Counter Securities
- SEC Modernizes Disclosures for Banking Registrants
- SEC Releases Report and Recommendations in Connection With The 39th Annual Small Business Forum
- FINRA Issues Guidance on Public Offerings
- CFTC Staff Issue Supplemental Advisory and Time-Limited No-Action Relief on Treatment of Separate Accounts by FCMs
- CFTC Further Extends Certain No-Action Relief to Market Participants in Response to COVID-19
- CFTC Staff Provides No-Action Relief to Registrant from SEF Reinstatement Requirements
- CFPB Publishes Proposals to Implement Small Business Lending Data Collection Rulemaking
- ECON Announces Implementation of Draft Report on Digital Finance and FinTech
- AML: FATF ‘Red Flags’ associated with Cryptoassets
- ESMA Renews 0.1 percent Reporting Requirement of Net Short Positions in EU Issuers
