To read the Digest online, click here.
This week's issue addresses the following topics:
- NASDAQ Launches Marketplace for Private Companies
- SEC Proposes Rules to Enhance Oversight of Clearing Agencies
- FINRA Proposes to Amend Rules 2210 and 2214
- CME Group Exchanges Adopt Revised Rules Regarding Transfer Trades and Concurrent Long and Short Positions
- Joint Audit Committee Adopts Template Acknowledgment Letters
- CFTC Announces Available-to-Trade Determinations
- CFTC to Host Roundtable on Commodity Pool Operator Risk Management Practices
- New York Department of Financial Services Issues Public Order to Invite Virtual Currency Exchange Proposals
- SEC Prevails in Lawsuit Involving $50 Million Ponzi Scheme
- SEC Brings Lawsuit Against Former Carter’s Executive for Insider Trading and Tipping
Chicago
