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Newsletter

Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, Derivatives, CFTC and UK/EU Developments

November 17, 2017

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To read the online Digest, click here.

This week's issue addresses the following topics:

  • FINRA Releases New Targeted Exam Letter Regarding Order Routing Conflicts
  • FINRA Requests Comment on Proposal to Amend Rule 3110, to Provide Firms the Option to Conduct Remote Inspection of Offices and Locations That Meet Specified Criteria
  • FINRA Releases a Regulatory Notice That the SEC Approved the CAT Fee Dispute Resolution Process
  • FINRA Releases Summary of Phase 1 Changes to FINRA Advisory Committees Under FINRA360
  • SEC Enforcement Division Issues Report on Priorities and Fiscal Year 2017 Results
  • CFTC Extends No-Action Relief to SEFs From Certain Block Trade Requirements
  • CFTC Announces 2018 Agricultural Commodity Futures Conference
  • FCA Publishes Further Set of Position Limits for Commodity Derivative Contracts
  • ESMA Highlights ICO Risks
  • ESMA Publishes Updated MiFID II Q&As

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