To read this week’s Bridging the Week, click here:
- Cybersecurity, Potential Equity Order Routing Conflicts and AML Among the Top Examination Priorities for SEC in 2015
- In Life as in Literature: The Big Short Featured Investment Adviser Misled Investors Says SEC Administrative Law Judge
- Two Legacy Exchanges Previously Owned by Direct Edge Holdings Settle Charges for Not Fully Describing Order Types to SEC
- Canadian Citizen Charged by SEC With Unlawful Layering Involving Traders in China and Korea
- Summit Energy Services, Inc. Fined by CFTC US $140,000 for Acting as an Unregistered CTA in Providing Risk Management Advice
- ICE Futures U.S. Settles a Number of Position Limit Offenses; Requires Disgorgement in One Instance
- SEC Proposes Reporting Regime for Security-Based Swaps
- NFA Grants Good Faith Relief Through March 31 to Members That Conduct Business With Previously Exempt CTAs and CPOs
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