To read the online Digest, click here.
This week’s issue addresses the following topics:
- SEC Approves Amended Rule Change to FINRA Rule 5110
- SEC Announces Proposed Amendments to Modernize Auditor Independence Rules
- SEC Issues Guidance on Confidential Treatment Applications and Intellectual Property and Technology Risks
- SEC Approved Amendments to FINRA’s New Issue Rules
- FINRA Requests Comments on Rule 4530 Reporting Requirements
- CFTC Announces Members of New ”Margin Subcommittee”
- OCC and FDIC Release Proposed Revisions to Community Reinvestment Act
- FCA Releases Asset Management Portfolio Tools Feedback
