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Newsletter

Corporate and Financial Weekly Digest - Volume IX, Issue 16

April 18, 2014

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To read the Digest online, click here.

This week's issue addresses the following topics:

  • US Court of Appeals for the District of Columbia Circuit Partially Invalidates Conflict Minerals Rule
  • FINRA Proposes Rule 2081 to Prohibit “Bargained-For” Expungements
  • SEC Issues FAQs on Rule 15c3-5 for Broker Dealers with Market Access
  • CME Group Issues Notice Prohibiting Transitory EFRPs
  • SEC Brings Lawsuit Against Hedge Fund Manager for Defrauding Investors
  • SEC Alleges Insider Trading by Two Friends in Advance of the Acquisition of The Shaw Group Inc.

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