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