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