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Newsletter

Corporate and Financial Weekly Digest, Featuring Topics on SEC/Corporate; Broker-Dealer; Derivatives; CFTC; UK, EU and Brexit Developments

December 8, 2017

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To read the Digest online, click here.

This week's issue addresses the following topics:

  • Register for Our 2018 Proxy Season Update Webinar
  • FINRA Requests Further Comments on the Effectiveness and Efficiency of Its Payments for Market Making Rule
  • FINRA Issues Guidance on Reporting Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts
  • FINRA Releases Report on FINRA Examination Findings
  • NFA Proposes to Amend NFA Registration Rule 802
  • NFA Proposes to Amend NFA Compliance Rules 2-36 and 2-43
  • CFTC Releases Rule Enforcement Review of the Chicago Board of Trade, Chicago Mercantile Exchange, Commodity Exchange, Inc. and New York Mercantile Exchange, Inc.
  • FCA's Changes to Connect Impact MiFID Passport Notifications
  • PRIIPs Regulations Published on the UK's Statute Law Database
  • HM Treasury Publishes Renewed Investment Management Strategy
  • UK FCA, Dutch AFM and French AMF Publish Position Limits for Commodity Derivative Contracts
  • Many EU Countries Have Not Yet Adopted MiFID II
  • EU and CFTC Implement Mutual Recognition of Derivatives Trading Venues
  • EBA Closes Breach of EU Law Investigation Relating to Dutch Prudential Regime for Proprietary Traders
  • UK and EU Reach Agreement on the First Phase of Brexit Negotiations
  • ESMA Publishes Transitional Transparency Calculations for Equity and Bond Instruments

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