To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Decreases Registration Statement Filing Fees for Fiscal Year 2016
- SEC Issues Risk Alert on Broker-Dealer Controls Regarding Retail Sales of Structured Securities Products
- The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a Kill Switch for NOM
- Anti-Money Laundering Program and Suspicious Activity Report Filing for Investment Advisers
- CPMI and IOSCO Publish Joint Consultative Report on the Global Harmonization of OTC UTI
- CFTC Registers ICE Futures Canada and Montreal Exchange as FBOTs
- CFTC Approves NFA's Enhanced Retail Forex Requirements
- PRIIPS – ESMA Publishes Reponses to Consultation on Key Information Document
- ESMA Publishes Discussion Paper on EMIR Standards Relating to CCP Client Accounts
Chicago
