To read this week's Bridging the Week, click here:

  • CFTC Chairman Suggests European-CFTC Agreement on Clearinghouse Equivalency May Come Soon; Skin in the Game Debate Needs More Study
  • HTG Capital Files Lawsuit to Identify Alleged Spoofer
  • CFTC Formally Responds to Court Judgment on International Guidance; Calls for Public Comments
  • FCA Sanctions Compliance Officer for Registrant’s Inadequate Systems and Controls
  • UBS Fined US $500,000 by FINRA for Not Reporting Salespersons’ Tax Liens and Judgments
  • Five Federal and NYS Regulators Penalize Commerzbank for AML Violations