To read the Digest online, click here.
This week's issue addresses the following topics:
- Register for Our 2020 Proxy Season Update Webinar
- FINRA Expands Transparency Initiative Related to OTC Equity Trading Volume
- CFTC Issues Guidance on Chief Compliance Officer Annual Report Preparation
- CFTC to Hold an Open Commission Meeting on December 10
- CFTC’s Market Risk Advisory Committee to Hold Open Meeting December 11
- NFA Issues Notice to Members on Annual Affirmation Requirement for CPO and CTA Exemptions
- NFA Proposes Reduction in Forex Dealer Member Assessment on Order Segments
- NFA Proposes Amendments to Several NFA Rules and Interpretative Notices to Apply to Cleared Swaps
- US Banking Agencies Issue Statement on Alternative Date in Credit Underwriting
- SM&CR to Apply to Benchmark Administrators
- ESMA Updates AIFMD Q&A
- ESMA Updates MiFID Q&A
