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Corporate & Financial Weekly Digest, Featuring Articles on Proposed SEC Changes for Off-Floor Transfer Options and Guidance From FINRA on ACM Requirements

November 1, 2019

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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

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