To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Small Business Capital Formation Advisory Committee to Discuss Opportunities for Underrepresented Founders and Investors
- Upcoming Effective Date of FINRA Rules Regarding Brokers With a Significant History of Misconduct
- Alex Oh Resigns From SEC; Melissa Hodgman Named Acting Director of Enforcement
- CFTC Renews No-Action Relief for Entities Submitting Swaps for Clearing With DCOs Acting Under Exemptive Orders or No-Action Relief
- UK Treasury Committee Publishes Report on Net Zero and the Future of Green Finance
- FCA Webpage on Climate Change and Sustainable Finance
- FCA Consults on Changes to Conduct and Organizational Rules Under UK MiFID
