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...
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Topics: Brokers, CFPB, CFTC, Cross-Border Transactions, Fraud, ISS, NFA, No-Action Letters, OCC, Ponzi Scheme, Proxy Voting Guidelines, Rule 10b-5, SEC, Swaps
Published In: Administrative Agency Updates, Antitrust & Trade Regulation Updates, Business Torts Updates, Finance & Banking Updates, Securities Updates
DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.
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