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Merrill Compliance Services Newsletter November 2016

| November 16, 2016

In the latest edition of Compliance Services News, we carry on our commitment to keep you informed of industry-related topics as the regulatory environment continues to evolve, requiring change in operational, technical and production systems. We hope you find the information to be helpful and informative.

Highlights from our November issue include:

  • Impacts the SEC's Investment Company Modernization Rule will have on; Liquidity Risk Management Programs and Swing Pricing
  • Information on the SEC's Removal of Rule 30e-3 From Modernization Final Rule
  • SEC Planning Comprehensive ETF Review
  • SEC's Announcement on Enforcement Results for Fiscal Year 2016
  • The Creation of the New Finra-Focused Task Force
  • Money Market Funds Update
  • and more!

Download this informative Newsletter!

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