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- Government Seeks Maximum Sentence in Coscia Criminal Action
- SEC Proposes Investment Advisers Adopt Formal Business Continuity and Transition Plans
- Broker-Dealer Settles FINRA Blue Sheets Violation Allegation by Payment of US $6 Million Fine
- International Bank Consents to US $560,000 Sanction by CFTC for Not Accurately Reporting Large Trader Reports for Swaps Positions in Physical Commodities
- NYS Department of Financial Services Issues Transaction Monitoring and Filtering Requirements for State-Regulated Banks and Other Financial Institutions
- BIS and IOSCO Provide Guidance on Cybersecurity Measures That Should Be Adopted by Financial Market Infrastructures
- IFUS Files and Resolves Disciplinary Action Alleging Disruptive Trading