To read the Digest online, click here.
This week's issue addresses the following topics:
- Delaware Proposal Banning Fee-Shifting and Permitting Exclusive Forum Provisions
- SEC Charges Insiders for Failure to Update Schedule 13D Disclosures
- CBOE Proposes Amendments to Trading Permit Holder and Direct Access Qualifications
- CFE Amends Rules on ECRPs and Block Trades
- FINRA Issues Notice on Background Checks for Registration Applicants
- SEC Approves ISE Rules on Information Barriers Between Customer and Proprietary Business
- SEC Staff Issues New FAQs on Regulation SHO
- CFTC Approves Final Rule on Residual Interest Deadline for FCMs
- FinCEN Updates List of Jurisdictions with AML/CFT Deficiencies
- CFTC Issues an Exemption to HKSFC Permitting US Customers to Deal Directly with Hong Kong Brokers
- Global Regulators Push Back Margin Requirements for Non-cleared Derivatives
- Delaware Court of Chancery Restricts Board’s Ability to Subject Former Shareholders to New Bylaws
- District Court Dismisses Data Breach Case for Lack of Standing
- Due Date for FATCA Reporting of US Accounts Is Approaching
- UK Regulator Announces Its Approach to Financial Promotions in Social Media
Chicago
