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.