To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Settles With Adviser That Allegedly Overcharged Management Fees and Misled Investors
- SEC Adopts Interim Final Rules as Mandated by the FAST Act
- FINRA Issues Notice on the Application of the Mark-Up Rule to Exempted Government Securities Transactions
- Extension of Time-Limited, Conditional No-Action Relief Regarding Masking Certain Reportable Identifying Information
- CFTC Issues Order Delegating to the NFA Certain Functions Related to Notices of Swap Valuation Disputes
- CFTC Launches Whistleblower Program’s Website
- FTC Announces Revised Hart-Scott-Rodino Filing Thresholds
- ACER announces 11th Public Workshop on REMIT Implementation
- ESMA Publishes European Commission Letter on AIFMD Passport
