Skip to Main Content
Site Search Submit
Logo
  • Professionals Professionals Search drop down
  • Services
  • Insights
  • Quick Reads
  • About
  • Careers
  • Site Search Toggle
Toggle mobile menu Toggle mobile site search
List Professionals Alphabetically
A B C D E F G H I J K L M N O P Q R S T U V W X Y Z View All
Search Professionals
Site Search Submit
  • Home
  • Insights
  • Corporate & Financial Weekly...

Newsletter

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Guidance for UTMA/UGMA Accounts and the SEC Rejection of a Bitcoin-Based ETF

February 28, 2020

Download PDF

To read the online Digest, click here.

This week’s issue addresses the following topics:

  • FINRA Releases Targeted Examination Letter for No Commission Brokers
  • FINRA Reminds Member Firms of Their Supervision Responsibilities of UTMA and UGMA Accounts
  • Commissioner Peirce Dissents from SEC’s Rejection of Bitcoin-Based ETF
  • CFTC Approves Revisions to Swap Data Reporting, Dissemination and Public Reporting Requirements for Market Participants
  • FCA Changes Short Selling Reporting Process
  • ECB Speech on Central Clearing

Share This Page

LinkedIn Facebook Email

Share This Page

LinkedIn Facebook Email
Related Professionals
  • Carolyn Jackson
    Partner
  • Nathaniel Lalone
    Partner
  • Susan Light
    Partner and Co-Chair, Broker-Dealer Regulation
  • Neil Robson
    Partner
  • Jack West
    Associate
Related Practices
  • Corporate
  • Financial Markets and Funds
  • Futures and Derivatives
  • Structured Products
Related Offices
  • Chicago
  • London
  • New York

Screen Reader Content

The lawyers that companies need today think like business people first and foremost.

We speak your language, understand your issues and find commercially viable solutions to help drive business.

Strategic. Pragmatic. Innovative.

That’s Katten.
Katten Muchin Rosenman LLP logo
  • LinkedinLinked In
  • TwitterTwitter
  • FacebookFacebook
Subscribe Subscribe
Contact Us
  • Offices
  • Media Center
  • Email
Legal Notices
  • Disclaimer
  • Privacy Notice
  • Cookie Notice
  • UK Notices
  • Honors and Awards Information
  • Accessibility

Attorney Advertising. © 2025 Katten Muchin Rosenman LLP.