To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Proposes Rule Amendments to Implement JOBS Act Registration Thresholds
- ISS Releases FAQs on Equity Plan Scorecard and Independent Chair Policy
- FINRA Issues Annual Regulatory and Examination Priorities Letter for 2015
- SEC Approves FINRA Rule Proposal Regarding Responsibilities of FINRA Member Firms to Investigate Applicants for Registration
- SEC Approves Amendments to NASD Rule 2340 and FINRA Rule 2310 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities
- CME Strikes Revisions to Wash Trade Advisory Notice Regarding Block Trades
- CFTC Staff Extends No-Action Relief for Certain FCMs from Receipt of Depository Acknowledgment Letters
- CFTC Staff Grants No-Action Relief to Entities Operating Insurance-Linked Securities Issuers
- ICE Futures U.S. Adopts Disruptive Trading Practices Rule
- CFTC Staff Issues Guidance Regarding Chief Compliance Officer Annual Reports
- CFTC Staff Issues No-Action Relief Extending the Deadline for Certain CCO Annual Reports
- CFTC Allows Swap Dealer’s CCO to Report to the Governing Body
- Supreme Court Clarifies Class Action Removal Pleading Standard
- SEC Charges Chilean Citizens With Insider Trading Concerning Tender Offer for Chilean
- Agencies Release Annual CRA Asset-Size Threshold Adjustments for Small and Intermediate
- FDIC Releases Guidance on Brokered Deposits in the Form of FAQs
- FCA to Regulate Seven Additional Financial Benchmarks
- New Fund Marketing Rules in Switzerland
