To read this week's Bridging the Week, click here.
- New Acting CFTC Chairman Provides Insight Into Priorities
- More Firms Sanctioned for Whistleblower Offenses by SEC
- Alleged Failure of HK Trading Firm to File Reports Regarding Physical Cotton Results in Enforcement Action by CFTC
- SEC Files Charges Against Broker-Dealer and Chief AML Officer for Failure to File Suspicious Activity Reports
- Affiliated FCMs Settle CFTC Enforcement Action Related to Alleged Non-Preservation of Customer Orders Audit Trail Records
- Cooperate and Maybe Benefit Says CFTC Division of Enforcement