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Financial Regulatory Deadlines & News (November 07 to 13)

A New Commissioner at America’s Main Securities Regulator Causes a Buzz

Source: The Economist

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Listed Company Manual to Clarify the Application of the Initial Listing Requirements to Common Equity Securities Issued in Exchange for a Listed Investment Tracking Stock

NYSE | Securities | Agency Update

Notice Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 303A.00 of the Manual to Change the Threshold for Qualifying as a Smaller Reporting Company to Qualify for Certain Exemptions from the Compensation Committee Requirements

NYSE | Securities | Agency Update

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 805(c)(5) of the Guide to Change the Threshold for Qualifying as a Smaller Reporting Company to Qualify for Certain Exemptions from the Compensation Committee Requirements

NYSE | Securities | Agency Update

Federal Home Loan Bank Community Support Program-Administrative Amendments

FHFA | Lending, Mortgage Lending, Consumer Lending | Final Rule

Regulation of NMS Stock Alternative Trading Systems

SEC | Securities | Final Rule

In Quest For Digital IDV, DMV, To Get The Motor Running?
PYMNTS.com 11/13/2018
In government we trust? Maybe so, in the quest for digital identity verification. The Wall Street Journal reported Monday (Nov 12) that a number of banks, ranging from JPMorgan Chase & Co to Citigroup, are eyeing partnerships with a series of government agencies in a quest to make digital ID verification a bit more streamlined and accurate…
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Banks and corporates could reap huge benefits from real-time liquidity management functionality, but industry-wide collaboration is crucial to make it a reality, according to a new Deutsche Bank white paper…

Northern Ireland’s DUP will support publication of Brexit legal advice
Reuters: Top News 11/13/2018
The small Northern Irish party propping up Theresa May’s government said it would vote on Tuesday in support of an attempt by opposition lawmakers to force the government to publish the legal advice it has received on Brexit…
Craig H. Carton. et al.
SEC | Securities | Enforcement | 11/08/2018
FINRA | Securities | Enforcement | 11/09/2018
SEC | Securities | Enforcement | 11/08/2018
SEC Complaint – James E. Hengen
SEC | Securities | Enforcement | 11/08/2018
SEC | Securities | Enforcement | 11/08/2018