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
