To read this week's Bridging the Week, click here.
- Offer and Sale of Digital Assets and Cybersecurity Among the Focus of SEC OCIE 2019 Examination Priorities
- Related Broker-Dealers Fined US $15 Million by the SEC, FINRA and FinCEN for Alleged AML Program Deficiencies; Unrelated BD Fined US $5.5 Million for Purportedly Selling IPOs to Industry Insiders
- FINRA Publicizes Effective Practices at Members to Mitigate Cybersecurity Risks