To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution
- Delaware Court of Chancery Rejects Entire Fairness Review in Absence of Conflicted Transaction
- FINRA Adds a Category of Persons to Serve on Disciplinary Hearings
- CFTC Interprets Obligations to Send Initial Margin Segregation Notices and Reports
- CFTC Proposes to Revise Residual Interest Deadline for FCMs
- CFTC Proposes to Amend Recordkeeping Requirements
- CFTC Grants Relief to IB Entering Into Give-Up Arrangements
- NFA Changes Public Display of FCM Financial Information on BASIC
- JAC Maintains Current Restrictions on Trading While Undermargined and Publishes Summary of Residual Interest Requirements
- UK Treasury Calls for Information on Digital Currencies
- SEC Approves New Exchange Traded Mutual Fund Structure
- SEC Investment Management Director Speech Focuses on Alternative Mutual Fund Disclosures
- Raj Rajaratnam Appeals $92 Million Civil Fine to Second Circuit Court of Appeals
- SEC Charges Former Pharmaceutical Executive and Close Friend With Insider Trading
- Restrictions on the Retail Distribution of CoCos and Other Regulatory Capital Instruments
