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  • FINRA Hands Out Report Cards on Potential Spoofing and Layering
  • CME Group Settles Numerous Disciplinary Actions Involving Allegedly Improper EFRPs and Purported Market Disruption Activity
  • European Commission Defines High Frequency Trading for MiFID II
  • Federal Court Rejects Broker-Dealer's Challenge to FINRA's Authority to Commence Disciplinary Action
  • GAO Criticizes SEC Cybersecurity Controls
  • SEC Seeks Views on Whether Proposal for Single Consolidated Audit Trail of All Equity and Equity Options Trading Is CAT's Meow
  • Accounting Firm Sanctioned for Inadequate Surprise IA Custody Audit