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  • Court Chastises SEC for Causing Unwarranted Collapse of Foreign Bank
  • NYS Previews Likely New Cybersecurity Regulations for Financial Institutions While Urging Coordination by Other Regulators
  • Criminal Charges Filed for Massive Cyber Hack of Banks, Brokers and Other Companies
  • ICE Futures US Sanctions FCM for Failing to Record and Maintain Oral Communications in Connection With Block Trades; Other Firms Fined for Wash Sales and Position Limits Violations
  • Broker-Dealer Self-Detects Reg SHO System Problem, Suspends Broken System and Self-Reports but Still Sanctioned by FINRA
  • Outsourcing of Compliance Functions by IAs May Be Okay but Be Mindful Says OCIE
  • FIA Operations Issues Guide to Help FCMs Better Process Exchange and Clearing Fees