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Bridging the Week

Newsletter | August 31, 2015

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

  • Charles Schwab Fined US $2 Million by FINRA for Net Capital Deficiencies
  • IFUS Sanctions West Oaks Energy Over US $415,000 for Position Limit Violations; Other Firms Fined for Pre-Execution Communication, Block Trades and EFRP Rule Infractions
  • Flash Boys-Inspired Litigation Dismissed by Federal Judge
  • CFTC Approves NFA Enhanced Customer Protection Rules for FX Retail Clients; Commissioner Bowen Says More Protection Needed
  • Appellate Court Rules Plaintiff Cannot Challenge SEC Forum Choice in Federal Court at This Time
  • UBS Agrees to Pay US $1.7 Million Penalty for Allegedly Conducting Business With OFAC Banned Person
  • FinCEN Proposes AML and SAR Requirements for Investment Advisers
  • ESMA Seeks Comments on Appropriate Liquidation Periods for Exchange-Traded Derivatives for CCP Margin Setting
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