To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Staff Announces Changes to Rule 14a-8 No-Action Request Process
- SEC Proposes Transparency and Financial Accountability Amendments to CAT NMS Plan
- SEC Releases Small Entity Compliance Guide for Regulation Best Interest and Form CRS
- FINRA Issues Call for Candidates in Upcoming Small Firm Advisory Committee Election
- CFTC’s Global Markets Advisory Committee to Meet on September 24
- FCA Provides Updated Information on SM&CR Implementation
- German Government Publishes Proposed Law for Proprietary Trading Firms
