To read the Digest online, click here.
This week's issue addresses the following topics:
- FINRA Issues Notice Regarding SEC’s Approval of New NMS Stock Recording and Reporting Requirements Rule
- FINRA Requests Comments on Proposed Gift, Gratuities and Non-Cash Compensation Rule Amendments
- FINRA Issues Notice Reminding Member Firms of "Time of Execution" Reporting
- CFTC Extends Relief for Non-US Swap Dealers From Transaction-Level Requirements
- CFTC Announces Enhancements to Protect Customer Funds
- CFTC Proposes to Amend the Timing for Filing Chief Compliance Officer Annual Reports by Certain Registrants
- European Commission Publishes Addendum to Draft RTS on Margin Requirements for Uncleared OTC Derivatives Under EMIR
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