Skip to Main Content
Site Search Submit
Logo
  • Professionals Professionals Search drop down
  • Services
  • Insights
  • Quick Reads
  • About
  • Careers
  • Site Search Toggle
Toggle mobile menu Toggle mobile site search
List Professionals Alphabetically
A B C D E F G H I J K L M N O P Q R S T U V W X Y Z View All
Search Professionals
Site Search Submit
  • Home
  • Insights
  • Corporate & Financial Weekly...

Newsletter

Corporate & Financial Weekly Digest, Featuring Articles on SEC Issues Staff Statement on SPAC Transactions, FINRA Modifies TRACE Dissemination Protocols for Specified Pool Transactions and FCA Updates Reporting LEIs of Non-EEA Third Country Issuers Under UK SFTR

April 9, 2021

Download PDF

To read the Digest online, click here.

This week's issue addresses the following topics:

  • SEC Corp Fin Staff Issues Statement on SPAC Transactions
  • SEC Issues Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for United Kingdom and Reopens Comment Period for Notice and Proposed Substituted Compliance Order for France
  • Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers
  • FINRA Modifications to TRACE Dissemination Protocols for Specified Pool Transactions (MBS)
  • FINRA Proposes Extension of Temporary COVID-19 Related Amendments
  • FINRA Updated and New Supervision FAQ for Rule 3120 and Rule 3120 Reports
  • CFTC Issues Customer Advisory on Trading Based on Information Communicated Online
  • FCA Update on Reporting LEIs of Non-EEA Third Country Issuers Under UK SFTR

Share This Page

LinkedIn Facebook Email

Share This Page

LinkedIn Facebook Email
Related Professionals
  • Carolyn Jackson
    Partner
  • Nathaniel Lalone
    Partner
  • Susan Light
    Partner and Co-Chair, Broker-Dealer Regulation
  • Neil Robson
    Partner
  • Mark Wood
    Partner and Co-Chair, Capital Markets
Related Practices
  • Corporate
  • Financial Markets and Funds
Related Offices
  • Chicago
  • London
  • New York

Screen Reader Content

The lawyers that companies need today think like business people first and foremost.

We speak your language, understand your issues and find commercially viable solutions to help drive business.

Strategic. Pragmatic. Innovative.

That’s Katten.
Katten Muchin Rosenman LLP logo
  • LinkedinLinked In
  • TwitterTwitter
  • FacebookFacebook
Subscribe Subscribe
Contact Us
  • Offices
  • Media Center
  • Email
Legal Notices
  • Disclaimer
  • Privacy Notice
  • Cookie Notice
  • UK Notices
  • Honors and Awards Information
  • Accessibility

Attorney Advertising. © 2025 Katten Muchin Rosenman LLP.