In this issue:
- CII Submits Rule 10b5-1 Rulemaking Petition to the SEC
- ISS Publishes Updated FAQs for its Proxy Voting Policies
- CFTC Issues Final Order on Cross-Border Swaps
- CFTC Issues No-Action Letters
- NFA Issues Guidance on Bylaw 1101 Compliance for Pending Introducing Brokers
- SEC Extends Sunset Date for Temporary Rule Regarding Principal Trades with Certain Advisory Clients
- Fourth Circuit Affirms Dismissal of Antitrust Claims Against Data Transfer Provider
- District of Colorado Dismisses, in Part, Securities Fraud Claims in Ponzi Scheme Suit
- HMDA’s Regulation C Exemption Limits Increased by CFPB
- CFPB Proposes Revisions to Remittance Rule
- OCC Provides Guidance on Swap “Push-Out” Transition Periods
An excerpt from "CII Submits Rule 10b5-1 Rulemaking Petition to the SEC"
On November 28 the Council of Institutional Investors (CII), an association of public, corporate and union pension funds and other employee benefit plans, submitted a letter to Securities and Exchange Commission Chairman Elisse Walter requesting that the SEC consider pursuing interpretive guidance or amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 that would require Rule 10b5-1 plans to adopt protocols and guidelines as follows...
Please see full newsletter below for more information.
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