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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