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Corporate & Financial Weekly Digest, Featuring Articles on Modernized Disclosures by SEC for Banking Registrants, New Guidance by FINRA on Public Offerings and a Proposal by CFPB to Implement Rules for Small Business Lending Data Collection

September 18, 2020

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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

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