To read the online Digest, click here.
This week’s issue addresses the following topics:
- SEC Adopts Rules and Interpretations To Enhance Protections and Preserve Choice for Retail Investors
- SEC Approves Amendments to FINRA’s Codes of Arbitration Procedure for Customer and Industry Disputes
- NASAA, SEC and FINRA Issue Senior Safe Act Fact Sheet
- ISDA Publishes Initial Margin Implementation Guidance for Financial End Users
- CFTC Issues Margin Relief for Changes to Legacy Swaps
- CFTC Announces Climate-Related Agenda for June 12 Public Meeting
Related Professionals
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Partner and Co-Chair, Broker-Dealer Regulation+1.212.940.8599 -
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