To read the Digest online, click here.
This week's issue addresses the following topics:
- PCAOB Adopts New Rules Requiring Disclosure of Participants in an Audit
- SEC Division of Corporation Finance Issues Four Additional C&DIs on FAST Act
- Notice of Filing of a Proposed Rule Change To Adopt the Capital Acquisition Broker Rules
- Revised Pay-to-Play Rules
- Research Note: Equity Market Volatility on August 24, 2015
- FINRA's 2016 Regulatory and Examination Priorities
- Congress Provides Swap Clearing and Margin Exemption for Central Treasury Units
- CFTC Amends Recordkeeping Rules
- CFTC Requests Comment on Draft Technical Specifications for Swap Data
- CFTC Proposes Alternative to Fingerprinting Requirement for Foreign Individuals
- CFTC Reminds SDs and MSPs of Swap Reporting Obligations
- CFTC Provides Relief to SEFs From Audit Trail Requirements Related to Post-Trade Allocation Information
- NFA Revises SD and MSP 4s Review Process
- Federal Bank Regulatory Agencies Release CRA Asset-Size Thresholds for Small and Intermediate Small Institutions
- PSC Register––Draft Guidance on the Meaning of "Significant Influence or Control" for UK Companies and LLPs
- European Union Publishes Implementing Directive on Whistleblowing Under Market Abuse
- ESMA Publishes Consultation Guidelines on MiFIR
- European Union Single Resolution Mechanism is Operational
