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- Non-Member Tipper and Tippee Fined by CME Group for Insider-Trading Type Offenses; Two Member Firms Fined for Algo System Gone Wild
- Pre-Hedging by Principals Authorized in Block Trade Clarification Implemented by IFUS and Adopted by CME Group
- Supplemental Regulation AT Proposal To Be Issued November 4
- FINRA Announces Review of Cross-Selling by Broker-Dealers of Affiliated Bank and Other Products; SEC Announces Review of IAs and BDs Compliance With Whistle-Blower Requirements
- FinCEN Issues Advisory Saying Cyber Attacks May Be Required To Be Reported Through SARs