In this issue:
- SEC Seeks Comment on Possible Enhancement of Audit Committee Disclosures
- SEC Proposes Rule Requiring Executive Compensation Clawbacks
- FINRA Requests Comment on Revised Discretionary Accounts and Transactions Rule
- FINRA Proposes Changes to the Reporting Requirements for TRACE-Eligible Securities
- CFTC Proposes Rule on Margin Requirements for Uncleared Swaps in Cross-Border Transactions
- CFTC Requests Public Comment on Rule Amendment Certification Filing by Ice Futures
- NFA Revises CPO Form PQR and CTA Form PR
- CFTC Requests Comments on Petition for Exemption from DCO Registration by OTC Clearing Hong Kong Limited
- SEC Enforcement Action Signifies the Need for Investment Advisers to Adopt Written Expense Allocation Policies
- SEC Division of Investment Management Issues Guidance Update Relating to Rule 204A-1 of the Investment Advisers Act
- Effective Date of Investment Adviser Pay-to-Play Rule Ban on Third-Party Solicitation
- CFTC Sues Chinese Citizen Accused of Executing Fraudulent Money Pass Trades
- Seventh Circuit Holds Under Indiana Law, Company Was Allowed to Vote Its Own Shares
- CFPB Postpones “Know Before You Owe” Mortgage Rule Until October 3
- ESMA Publishes Final Report on Draft Rules Under MiFID II
- ESMA Renews Short Selling Ban by Greek HCMC
- Excerpt from SEC Seeks Comment on Possible Enhancement of Audit Committee Disclosures:
On July 1, the Securities and Exchange Commission published a concept release to seek public comment regarding the potential enhancement of audit committee disclosure requirements, particularly as such disclosure relates to an audit committee’s oversight of the independent auditor.
Please see full publication below for more information.