To read Bridging the Week, click here.
This week's issue addresses the following topics:
- High-Frequency Trading Firm Pays US $1 Million for Serving Too Much “Gravy” on the Close From June to December 2009
- CFTC Makes Self-Executing and Expands Certain Relief Related to Delegating CPOs
- Investment Advisor Compliance Officer Charged by SEC for Altering Document Related to Insider Trading Probe
- CPMI/IOSCO Advises Clearinghouses How to Recover From Threats to Their Viability
- PIMCO Offers Views on the Protection of Client Funds at Clearinghouses
- FSB Advises Regulators How to Oversee Resolution of Failed Financial Institutions
- Research Analyst Tweeter Is Fined by FINRA for Not Tweeting About Personal Stock Holdings
- Priorities Emerge in SEC Enforcement’s Look Back at 2014 Activities