To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Proposes Modernization of Filing Fee Disclosure and Payment Methods
- Another Postponement of Margin Rules for Covered Agency Transactions Under FINRA Rule 4210
- ISS Files Suit Against SEC for Proxy Voting Advice Guidance
- FINRA Issues 2019 Report on Examination Findings and Observations
- FINRA Issues Regulatory Notice on the Annual Compliance Meeting Requirement
- SEC Approves CBOE’s Proposed Rule Change Regarding the Off-Floor Transfer of Options Positions
- SEC Issues Order Instituting Proceedings Regarding CBOE’s Proposed Rule Change on Off-Floor Position Transfers
- CFTC’s Global Markets Advisory Committee Seeking Nominations for New Subcommittee
- CFTC to Hold Open Commission Meeting on November 5
- FCA Publishes Cryptoasset AML/CFT Webpage
