To read this week's Bridging the Week, click here.
- FCM Agrees to Pay US $800,000 Fine to CFTC Because of US $1.1 Million in Erroneous Customer Exchange Fees Charges
- CFTC Staff Extends Cross-Border Relief for OTC Transactions Arranged in the US
- Investment Bank Fined US $36.3 Million by Federal Reserve Bank in Response to Its Own Staff's Leakage of Nonpublic Information to Ex-Employee
- Broker-Dealer to Pay US $1.2 Million to FINRA for Widespread OATS Violations
- Nonmember Settles CME Group Disciplinary Action for $336,500 in Sanctions and Three-Year Trading Ban for Front-Running Employer Trades
- Follow-up: Before There Was CME Group's Direct Funding Participant Clearing Membership Proposal There Was Eurex's ISA Direct
- Follow-up: FinCEN Issues FAQs on Customer Due Diligence Requirements for Financial Institutions
- In Memoriam: John DeWaal (My Dad)