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Bridging the Week

Newsletter | May 11, 2015

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

  • Two Traders Subject of CME Summary Suspension for Alleged Spoofing Sued by CFTC Too
  • Money Service Businesses for Second Largest Virtual Currency Fined for AML Deficiencies; Bitcoin Exchange Gets First NY License as Trust Company
  • SEC Approves Larger Tick Size Pilot for Small Companies; Study Suggests Larger Tick Sizes May Help HFTs and Not Market Quality
  • ICE Futures U.S. Fines Member US $200,000 for Problematic Block Trades
  • CFTC Chairman Argues for Equivalent Treatment for US CCPs by the European Commission; EC and CFTC Commit to Continue Talking—That's All for Now
  • Where to Bring an Enforcement Action: the SEC’s Enforcement Division Issues Guidance Regarding Its Decision-Making
  • Broker-Dealer LPL Fined US $10 Million by FINRA for Oversight Failures Related to Complex Products Sales
  • IOSCO Consults on Sound Practices to Assess Credit Risk
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