To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Staff Releases Sample Comment Letter on Securities Offerings During Periods of Market and Price Volatility
- FINRA Releases Regulatory Notice on Policies and Procedures Relating to Fraud Involving Low-Priced Securities
- CFTC Announces Market Risk Advisory Committee Meeting
- NFA Publishes Series of Member Notices Related to Common Deficiencies and Other Regulatory Matters
- FCA Updates Webpage on Changes to Regulatory Reporting During COVID-19
