To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Approves FINRA Rule Limiting Expungement
- CFTC Issues No-Action Relief from Certain Ownership and Control Reporting Requirements
- CFTC Releases Rule Enforcement Review of ICE Futures U.S.
- SEC Issues Guidance on Proxy Voting
- District Court Reaffirms Rule 10b5-1 Standard and Denies Motion to Dismiss Insider Trading Charges
- SEC Settles Third-Party Insider Trading Claim Against Investor Relations Executive