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Bridging the Week, Featuring Articles on SEC Regulation to Ensure Retail Customer Interests, SEC Removal of Canada ICO, CME Sanction of Disruptive Trader and NFA Overhaul of Supervisory Rules

Newsletter | June 10, 2019

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

  • SEC Kicks Canada-Based ICO Issuer; Claims It Conducted Unregistered Securities Offering to US Persons
  • CME Sanctions Trader for Liquidating Large Positions Without Considering Market Impact
  • SEC Adopts New Regulation to Ensure Retail Customers’ Best Interest Takes Priority Over Broker-Dealer’s
  • NFA Proposes Overhaul of Requirements for Supervision of Branch Offices and Guaranteed IBs
  • Misusing Client Block Trades’ Information and Phone Recording Breakdown Result in NFA Sanctions Against Multiple Parties
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