To read the online Digest, click here.
This week’s issue addresses the following topics:
- FINRA Publishes Notice to Members Encouraging Continued Disclosure of Digital Assets Activities
- FINRA Announces Final Results of Mutual Fund Waiver Initiative
- FINRA Publishes Guidance on Public Offering Review Process and Private Placement Filings
- FINRA Proposes Rule Change Relating to Exemptions from Order Audit Trail System Recording and Reporting Requirements
- New EU Prospectus Regulation: Updated ESMA Questions and Answers
- ESMA Consults on Compliance Function for UK and EU Investment Firms
Related Professionals
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Partner and Co-Chair, Broker-Dealer Regulation+1.212.940.8599 -
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New York
