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Corporate & Financial Weekly Digest, Featuring Articles on FINRA's new rules to address brokers with significant history of misconduct and FCA announces annual transparency calculations for equity and equity-like instruments

March 12, 2021

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To read the Digest online, click here.

This week's issue addresses the following topics:

  • SEC Issues No Action Letter on Treatment of Reserved Powers Trust as Non-US Person by Non-US Investment Adviser for Registration Exemption
  • FINRA Adopts Rules to Address Brokers With a Significant History of Misconduct
  • FINRA Issues Guidance on Common Sales Charge Discounts and Waivers for Investment Company Products
  • FINRA Alerts Firms of Ongoing Phishing Campaign Involving "finra-online.com" Domain Name
  • FINRA Board of Governors Approves Soliciting Comments on Amendments to Borrowing and Lending Rule
  • NFA Proposes Compliance Rule 2-50 and Related Interpretive Notice
  • FCA Publishes Consultation Paper on Regulating Bidding for Emission Allowances Under UK ETS
  • FCA Announces Annual Transparency Calculations for Equity and Equity-Like Instruments
  • ECON Publishes Draft Report on Proposed Regulation on Markets in Cryptoassets
  • European Commission Publishes Draft Delegated Act on FRANDT

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