To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Amends CAT NMS Plan
- FINRA Amends Rules Related to Membership Application Program to Promote Payment of Arbitration Awards
- FINRA Issues Regulatory Notice Regarding Sales Practice Obligations With Respect to Oil-Linked Exchange-Traded Products
- FINRA Updates COVID-19 FAQs
- LIBOR Transition Best Practices Statement Issued by ARRC
- FINRA Requests Comments on Security-Based Swaps
- CFTC Holds Open Commission Meeting
- CFTC Issues COVID-19 Customer Advisory on Commodity ETPs and Funds
- NFA Proposes Amendments to Part 3 of NFA’s Compliance Rules Regarding Disciplinary Process
- NFA Proposes Technical Amendments to Various Rules and Interpretive Notices
- FCA Statement on Continuing Professional Development During the COVID-19 Pandemic
- FCA Publishes Market Watch Newsletter
- ESMA Clarifies Reporting of Repos With EU Central Banks Under MiFIR
- ECB Publishes Bi-Annual Financial Stability Review
