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This week's issue addresses the following topics:
- SEC and CFTC Chairman Issue Joint Letter Regarding CFTC Orders Implicating Regulations A and D
- SEC Staff Issues No-Action Relief Addressing Customer Protection Rule Violations Despite the Objection of Two Commissioners
- FINRA Adopts Rule to Restrict Registered Person’s Ability to be a Beneficiary or Hold Position of Trust
- ISDA Publishes IBOR Fall Back Supplement and Related Protocol
- CFTC Chairman Tarbert Issues Statement on the Use of Staff Letters and Guidance
- CFTC’s Enforcement Division Issues Guidance on Recognition of Self-Reporting, Cooperation and Remediation
- CFTC Announces Organizational Changes
- CFTC to Hold an Open Commission Meeting on November 2
- OCC Issues Final “True Lender” Rule
- FCA Extends SM&CR Deadlines and Confirms Publication Dates for SM&CR Directory Person Data
- AIFMD II – European Commission Consultation on AIFM Directive Review
- ESMA Publishes Statement on Trading Obligation for Shares Under MiFIR After Brexit
- ESMA Adds UK Venues to Third-Country Trading Venues Under MiFIR and MiFID II
