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.
Chicago
