To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Division of Corporation Finance Issues C&DIs on Application of Rule 701
- SEC Proposes Amendments to Definition of 'Smaller Reporting Company'
- SEC Approves NASDAQ's 'Golden Leash' Disclosure Rule
- SEC Approves Consolidated FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions)
- Lehman Brothers Court Holds Swap Safe Harbor Protects 'Flip' Transactions
- CFTC Issues Advisory Regarding Suspicious Activity Reporting and Economic Sanctions Programs
- CFTC Releases Results of CBOE Futures Exchange Rule Enforcement Review
- CFTC Approves Clear Markets North America, Inc. as a Registered Swap Execution Facility
- UK Publishes MAR Regulations Ahead of July 3 Deadline
- European Commission Adopts MiFIR Delegated Regulations
- ACER Revises Guidance on the Application of REMIT
- Regulation Extending Commodity Dealer Exemptions From the EU Capital Requirements Regulation Published in the European Union's Official Journal
- European Commission Adopts MiFIR Delegated Regulation on Straight-Through Processing