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