To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Adopts Final Rules for Regulation A+ Offerings
- FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions
- FINRA Issues Guidance on Effective Supervision for Firms Engaging in Algorithmic Trading Strategies
- SEC Proposes to Amend Rule 15b9-1
- SEC Staff Clarifies Regulation SHO FAQ 2.5(B) on Order Marking
- CFTC Issues Advisory on Ownership and Control Reporting
- Fourth Circuit Sustains Securities Fraud Claim Against Drug Manufacturer
- Software Company to Face Suit Over Contract Restructuring
- ESMA Updates Q&A on the AIFMD
