To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules
- States Challenge Blue Sky Preemption Under Regulation A+
- FINRA Proposes Revised BrokerCheck Hyperlink Rule
- NFA Proposes to Enhance Risk Management, Capital, Collateral and Disclosure Requirements for FDMs
- NFA Proposes Amendments to Its Articles of Incorporation
- CFTC Requests Public Comment on a Petition from ASX Clear (Futures) Pty Limited for Exemption From Registration as a DCO
- SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers
- Tenth Circuit Affirms Clawback From Unsuspecting Recipient of Funds Under Uniform Fraudulent Transfer Act
- Senator Elizabeth Warren Criticizes SEC Chair Mary Jo White for “Extremely Disappointing” Leadership
- The FCA Publishes Its Bi-Annual Hedge Fund Survey
- FCA Provides Comments to European Commission on Proposed EU Capital Markets Union
