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

  • Deputy US Attorney General and SEC Enforcement Head Warn Corporate Individual Wrongdoers to Beware
  • Court to House Subcommittee and Staff Member: Comply With SEC Investigative Subpoenas – No Exemptions for You!
  • Enhanced Transparency Is Objective of Proposed SEC Rules for Alternative Trading Systems
  • SEC Chair Tells Congressional Committee Disruptive Trading Rule and Proposals Mandating Third-Party Compliance Reviews of Investment Advisers Coming Soon; CFTC Reg AT Proposal Coming Sooner
  • CCO Fined and Suspended by SEC for Recidivist Violation by Investment Adviser; Sanctions Against IA and Principals Too
  • Broker-Dealer Fined $2.6 Million by FINRA for Failure to Retain Key Records in WORM Format
  • Bank Settles NYS Charges Related to FX Trading System That Allegedly Rejected Some Client Orders Where Bank Could Not Profit