To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Division of Corporation Finance Provides Update on Conflict Minerals Rule
- SEC Division of Corporate Finance Issues New C&DIs on “Regulation A+” and Regulation Crowdfunding
- National Adjudicatory Council Revises Sanction Guidelines
- NFA Issues Notice Regarding Updated FinCEN AML/CFTC Guidance
- CFTC Releases No-Action Letter Regarding the Transfer of Customer-Owned Securities by FCMs to Foreign Brokers
- NFA Announces Cybersecurity Member Regulatory Workshop Sessions
- New Private Fund Limited Partnership Structure Now Available
- PRA Issues “Dear CEO” Letters on Brexit Contingency Planning
