To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Division of Corporation Finance Issues New C&DI Related to Resales Under Regulation S
- SEC Announces Proxy Voting Roundtable
- CFTC Staff Issues No-Action Relief From Certain Financial Reporting Requirements Applicable to Introducing Brokers
- CME Group Exchanges Revise Position Limit Rules
- NFA Announces New Filing Process for Swap Dealer and Major Swap Participant CCO Reports
- NFA Increases Minimum Security Deposits for Forex Transactions
- Bharara Appeals Second Circuit’s Decision Vacating Insider Trading Convictions
- Study Finds Executive Compensation Clawback Provisions Do Not Eliminate Possible Earnings Manipulation
- Retail Investment Advice: Clarifying the Boundaries and Exploring the Barriers to Market Development
- AIFM Directive Annex IV Reporting Delayed/Postponed in the Netherlands and the United Kingdom
- Fourth EU Money Laundering Directive Endorsed by European Parliament
