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  • ESMA Says "No for Now" to Granting Passport Rights to US Fund Managers Under AIFMD
  • BATS Exchange Seeks Expedited Authority to Suspend Alleged Spoofers
  • FINRA Fines Three Broker-Dealers More Than US $2.6 Million for OATS Reporting Violations
  • HK SFC Fines Nomura International US $580,000 for Failing to Timely Disclose Activities of Rogue Trader
  • CME Group Exchanges Sanction Trader Who Allegedly Engaged in Wash Trades to Manage Tax Obligations
  • Phased Roll-Out of New Position Limits Called for at CFTC EEMAC Public Meeting
  • FCA Finds Continued Weakness in Firms' Oversight of Benchmark Activities
  • Industry Participants Respond to ESMA's Call for Input on Virtual Currencies and Distributed Ledger Technology and Discuss Potential Applications
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