To read this week's Bridging the Week, click here.
- Former MF Global CEO Claims CFTC Charges Against Him Are Meritless
- Broker-Dealer to Pay FINRA Almost US $7.3 Million to Resolve Claims It Sold Unregistered Microcap Shares and Committed AML Violations
- Broker-Dealer Agrees to FINRA Sanction of US $2.95 Million for Alleged Blue Sheet Failures; Another to Pay Almost US $13 Million for Mutual Fund Suitability Violations
- IOSCO Recommends Best Practices for Financial Markets and Intermediaries for Business Continuity
- Non-Member Trading Firm Settles Disciplinary Action With CME Group for Allegedly Self-Matching Orders and Not Using Unique Tag 50 IDs