To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Issues No Action Letter on Treatment of Reserved Powers Trust as Non-US Person by Non-US Investment Adviser for Registration Exemption
- FINRA Adopts Rules to Address Brokers With a Significant History of Misconduct
- FINRA Issues Guidance on Common Sales Charge Discounts and Waivers for Investment Company Products
- FINRA Alerts Firms of Ongoing Phishing Campaign Involving "finra-online.com" Domain Name
- FINRA Board of Governors Approves Soliciting Comments on Amendments to Borrowing and Lending Rule
- NFA Proposes Compliance Rule 2-50 and Related Interpretive Notice
- FCA Publishes Consultation Paper on Regulating Bidding for Emission Allowances Under UK ETS
- FCA Announces Annual Transparency Calculations for Equity and Equity-Like Instruments
- ECON Publishes Draft Report on Proposed Regulation on Markets in Cryptoassets
- European Commission Publishes Draft Delegated Act on FRANDT
