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