To read this week's Bridging the Week, click here.
- Clearing Firm’s Failure to File Suspicious Activity Reports in Response to Red Flags Charged as Violation of FINRA Requirements
- Malaysian National Sentenced by Singapore Court to 16 Weeks Imprisonment for Stock-Based Spoofing; PRC Resident Fined by China Regulator for Similar Conduct
- SEC Chairman Nominee Urges Making US Capital Markets Great Again
- Floor Broker and Former Floor Broker Settle CME Disciplinary Action Alleging Pre-Execution Arrangement of Customer Fill
- Brokerage Firms Fined Almost US $2 Million by HK Regulator for Position Reporting and Electronic Trading Systems Breaches
- Commentators Generally Supportive of CFTC’s Proposed Record Retention Amendments
New York
