To read the online Digest, click here.
This week’s issue addresses the following topics:
- FINRA Releases Targeted Examination Letter for No Commission Brokers
- FINRA Reminds Member Firms of Their Supervision Responsibilities of UTMA and UGMA Accounts
- Commissioner Peirce Dissents from SEC’s Rejection of Bitcoin-Based ETF
- CFTC Approves Revisions to Swap Data Reporting, Dissemination and Public Reporting Requirements for Market Participants
- FCA Changes Short Selling Reporting Process
- ECB Speech on Central Clearing
