To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Seeks Comment on Possible Enhancement of Audit Committee Disclosures
- SEC Proposes Rule Requiring Executive Compensation Clawbacks
- FINRA Requests Comment on Revised Discretionary Accounts and Transactions Rule
- FINRA Proposes Changes to the Reporting Requirements for TRACE-Eligible Securities
- CFTC Proposes Rule on Margin Requirements for Uncleared Swaps in Cross-Border Transactions
- CFTC Requests Public Comment on Rule Amendment Certification Filing by Ice Futures
- NFA Revises CPO Form PQR and CTA Form PR
- CFTC Requests Comments on Petition for Exemption from DCO Registration by OTC Clearing Hong Kong Limited
- SEC Enforcement Action Signifies the Need for Investment Advisers to Adopt Written Expense Allocation Policies
- SEC Division of Investment Management Issues Guidance Update Relating to Rule 204A-1 of the Investment Advisers Act
- Effective Date of Investment Adviser Pay-to-Play Rule Ban on Third-Party Solicitation
- CFTC Sues Chinese Citizen Accused of Executing Fraudulent Money Pass Trades
- Seventh Circuit Holds Under Indiana Law, Company Was Allowed to Vote Its Own Shares
- CFPB Postpones “Know Before You Owe” Mortgage Rule Until October 3
- ESMA Publishes Final Report on Draft Rules Under MiFID II
- ESMA Renews Short Selling Ban by Greek HCMC
