To read this week's Bridging the Week, click here.
- Michael Coscia Sentenced to Three Years’ Imprisonment for Spoofing and Commodity Fraud
- Two Foreign Agribusinesses Agree to Resolve CFTC Charges for Their Alleged Failure to Report Physical Positions
- SEC Amends Rules of Practice for Administrative Proceedings to Make More Court-Like
- Computer Coding Error Results in Broker-Dealer Blue Sheets’ Errors Over 15 Years and US $7 Million SEC Fine
- Speakers Attack Source Code and Registration Provisions of Proposed Reg AT Before Congressional Committee
- Enhancement of Broker-Dealer Disclosure Obligations Regarding Customer Order Handling Goal of SEC Proposed New Rules
- Introducing Broker Settles CFTC Action for Solicitation Fraud and Lying to NFA
- Industry Participants Generally Applaud Proposed Amendments to CFTC Position Limit Proposal But Criticize Ability to Undo Exchanges’ Determinations