To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Issues New FAQs on Conflict Minerals
- SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule
- FINRA Requests Comment on Rules Regarding Communications with the Public and Gifts, Gratuities and Non-Cash Compensation
- CFTC Extends Relief to FCMs from Certain Commingling Requirements
- CFTC Seeks Comments on ICE Clear Europe Petition
- CFTC Reissues and Clarifies Relief Regarding Swaps Trading on MTFs
- Foreign Judgment in Criminal Fraud Action Enforceable in New York
- SEC Obtains Settlement for Violations of Registration Rules and “Layering”
- Banking Agencies Adopt Enhanced Supplementary Leverage Ratio Final Rule
- Federal Reserve Extends Compliance Deadline for CLOs
New York
