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Newsletter

Corporate & Financial Weekly Digest, Featuring Articles on SEC Enforcement Actions, Filing Fees and CFTC Committee Updates

August 30, 2019

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To read the Digest online, click here.

This week's issue addresses the following topics:

  • Federal Court Rules Investment Fund is 10 Percent Owner in Section 16 Case
  • SEC Increases Registration Statement Filing Fees for Fiscal Year 2020
  • FINRA Issues Guidance on Member Firms’ Supervisory Obligations When Participating in Investment-Related Activities With Municipal Clients
  • CFTC Seeks Nominations and Public Comment on Priorities for the Energy and Environmental Markets Advisory Committee
  • CFTC Announces Market Risk Advisory Committee Meeting on September 9

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