To read this week's Bridging the Week, click here.
- Deputy US Attorney General and SEC Enforcement Head Warn Corporate Individual Wrongdoers to Beware
- Court to House Subcommittee and Staff Member: Comply With SEC Investigative Subpoenas – No Exemptions for You!
- Enhanced Transparency Is Objective of Proposed SEC Rules for Alternative Trading Systems
- SEC Chair Tells Congressional Committee Disruptive Trading Rule and Proposals Mandating Third-Party Compliance Reviews of Investment Advisers Coming Soon; CFTC Reg AT Proposal Coming Sooner
- CCO Fined and Suspended by SEC for Recidivist Violation by Investment Adviser; Sanctions Against IA and Principals Too
- Broker-Dealer Fined $2.6 Million by FINRA for Failure to Retain Key Records in WORM Format
- Bank Settles NYS Charges Related to FX Trading System That Allegedly Rejected Some Client Orders Where Bank Could Not Profit