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- FINRA Will Grade Members on Culture, Supervision and Liquidity Management; BDs Not Managing Spoofing Likely to Get Bad Scores
- Sentinel Management’s Bank Held by Appellate Court to Have Been on Inquiry Notice of Cash-Management Firm's Misuse of Customer Funds; Demoted to General Creditor Status
- Steven A. Cohen Barred by SEC From Serving as Hedge Fund Supervisor for Two Years for Alleged Supervisory Failures; No Fine Assessed
- Paying Salespersons Salary and Discretionary Bonus Is Misleading When Clients Are Told Payment Is Based on Performance Says SEC in Enforcement Action
- CME Group Proposes to Toughen Requirements Prohibiting Exchange Access by Persons Subject to Economic Sanctions
New York
