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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