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

  • US Broker-Dealer, Its CEO and a Non-US Client Sued by SEC for Layering and Other Manipulative Schemes
  • Federal Appeals Court Holds Companies Can't Retaliate Against Internal Whistleblowers Even When No SEC Reporting
  • CTA and Principal Barred From NFA Membership for Failing to Cooperate in Examination
  • FINRA Proposes Comprehensive Overhaul of Competency Testing Requirements