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Corporate & Financial Weekly Digest, Featuring Articles on the Latest Guidance From the SEC on SPACs and a FINRA Reminder for Options Accounts

April 16, 2021

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To read the Digest online, click here.

This week's issue addresses the following topics:

  • SEC Statements Regarding SPACs Address Warrants and Projections
  • SEC Approves Amendments to NYSE Shareholder Approval Rules for Certain Equity Issuances and Requirements for Related Party Transactions
  • FINRA Reminds Members About Options Account Approval, Supervision and Margin Requirements
  • FINRA Files With the SEC to Extend Time to Announce the Implementation Schedule for FINRA’s Corporate Bond New Issue Reference Data Service
  • FINRA Publishes Answer to Frequently Asked Questions Under Rule 4521(d) on Margin Balance Reporting
  • CFTC Staff Provides Further Brexit-Related Relief
  • CFTC Staff Issues Continuation of Certain No-Action Relief to Market Participants in Response to COVID-19
  • NFA Issues Notice Regarding Effective Date of NFA’s Rules Regarding CPO Notice Filing Requirements

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