To read this week's Bridging the Week, click here.
- FINRA Seeks to Identify How Some Members Implement Cultural Values
- Former Broker-Dealer CEO Sentenced to Six Months Imprisonment for Creating False Documents for SEC Production
- No Home Court Advantage in Administrative Proceedings Says SEC Inspector General
- CFTC Provides Reporting Relief to Trade Option Users
- Research Analyst Fined by SEC for Falsely Rating Client to Keep Relationship
- Singapore Exchange Consults on Adopting Principles-Based Not Prescriptive Pre-Trade Risk Control Requirements