To read this week's Bridging the Week, click here.
- Registration Based on Quantitative Test Likely To Be Part of Supplemental Regulation AT, Suggests CFTC Chairman
- Non-US Bank Charged by SEC With Providing Cross-Border Brokerage Services to US Persons Without Registration
- Accounting Firm Sanctioned by SEC for Not Detecting Client's Fraud
- Broker-Dealer Fined US $2.8 Million by FINRA for Inaccurate Reporting of Millions of Trades Over Four Years
- Follow-Up: Recent CME Group Disciplinary Action Suggests Liability May Not Automatically Mean Fines