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Newsletter

Corporate and Financial Weekly Digest - Volume IX, Issue 47

December 5, 2014

To read the Digest online, click here.

This week's issue addresses the following topics:

  • SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking
  • FINRA Issues Notice on TRACE Trade Reporting Obligations
  • NFA Issues Guidance on Exempt and Excluded CPOs and CTAs 
  • NFA Proposes Amendment to NFA Compliance Rule 2-4
  • NYS DFS Publishes All BitLicense Comments; California Considers Regulation
  • SEC Issues Third-Annual Dodd-Frank Whistleblower Program Report
  • Expedited Proceedings Denied Where Harm Is Only Speculative 
  • SEC Charges Company Executives With Issuing False Press Releases to Inflate Stock Price 
  • OCC’s Curry Advocates Regulatory Reduction for Smaller Banks and Thrifts
  • FFIEC Releases Revised BSA/AML Examination Manual
  • New European Data Protection Guidelines Published
  • AIFM Directive – Latvia, Poland and Spain Warned by European Commission for Failing to Fully Implement New Investment Fund Rules


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