To read this week's Bridging the Week, click here.

  • Another Publicly Traded Firm Sanctioned by SEC for Allegedly Undercutting Whistleblower Protections Through Severance Agreements
  • SEC Upholds FINRA Registration Suspension of Broker-Dealer President for Failure to Supervise
  • Swap Dealer Sued in Federal Court by CFTC for Recidivist Reporting Violations; Acknowledges Bank's Cooperation
  • International Regulators Find Fault With Derivatives CCPs' Recovery Planning and Credit and Liquidity Risk Management
  • CFTC Staff Issue Another Report but Commission Takes No Action Regarding Swap Dealer De Minimis Threshold
  • …And Don't Forget ICE Clear Europe's Individual Segregation Through Sponsored Principal Account Offering