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Bridging the Week, Featuring Topics on SEC/CFTC – Coordinate and Harmonize, Don't Merge; Source Code Proposal: Dead; Wishes May Come True

Newsletter | October 9, 2017

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

  • Treasury Calls for Better Coordination to Improve SEC and CFTC Efficiencies; Recommends Review of SROs to Minimize Conflicts and Increase Transparency
  • New CFTC Commissioner Proclaims Reg AT Source Code Repository Proposal "D-E-A-D" and Warns Retail Bitcoin Exchanges Providing Financing to Fulfill Delivery Obligations or Register
  • Retail Metals Dealer Sued by CFTC for Not Fulfilling Delivery Obligations to Financed Customers Says Actual Delivery Was Made
  • NYMEX Charges Nonmember With Disruptive Trading for Flipping Orders With Wash Blocker Functionality
  • Broker-Dealer Settles FINRA Charges of Record Retention Breakdowns
  • Derivatives Industry Wishes Upon a CFTC KISS Star and Hopes Dreams Come True
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