To read the Digest online, click here.
This week's issue addresses the following topics:
- FINRA Requests Comments for Proposed Amendments to FINRA Rule 2165
- FINRA Alerts Firms to Widespread Phishing Email
- SEC Proposes Allowing ‘Finders’ to Raise Capital Without Registering as Broker-Dealers
- FCA Publishes Statement on MiFIR Trade Reporting and Position Limit Obligations
- ISDA Efforts to Help Markets Deal With LIBOR Replacement Clear DOJ Hurdle
- CFTC Unanimously Approves Amendments to Form CPO-PQR
- CFTC and the Office of Financial Research Sign Memorandum of Understanding to Allow Information Sharing
- NFA Issues Notice on Effective Dates of Amendments to Code of Arbitration and Member Arbitration Rules
- NFA Issues Notice on Expiration of Temporary Relief from Fingerprinting Requirements
- CFTC Announces Open Commission Meeting to Consider Final Rules on Margin Requirements for Uncleared Swaps, Registration Exemptions for Foreign Intermediaries and Derivative Position Limits
- European Commission Adopts New Standards for Cooperation Under MAR
- ECOFIN Removes the Cayman Islands From Non-Cooperative Tax List
