In This Issue:
- SEC Denies Motion to Stay Regulation A+
- SEC Requests Public Comment on ETPs
- CFTC Further Extends Valuation Data Reporting Relief for SDs and MSPs
- Eleventh Circuit Upholds Wire Fraud Conviction of Defendant Who Did Not Participate in Sending the Fraudulent Representations
- California Brokers Plead Guilty to Insider Trading of Ardea Biosciences, Inc. Stock
- FDIC Proposes New Premium Assessment System for Small Banks
- OCC Revises Residential Real Estate Lending Guidance in Comptroller’s Handbook
- The Theme of Corporate Governance in Alternative Investment Funds Continues to be Debated
- AMF Publishes Reporting Obligations and Position Limits for Derivatives on Agricultural Commodities to Commence July 1
- Excerpt from SEC Requests Public Comment on ETPs:
On June 12, the Securities and Exchange Commission announced that it is seeking public comment in connection with its review of the listing and trading of exchange-traded products (ETPs) on national securities exchanges and retail sales of ETPs by broker-dealers.
Please see full publication below for more information.
