As a result, the following matters are covered in this week’s Bridging the Week:
- SEC Adopts First Rules and Guidance Related to Cross-Border Security-Based Swap Activity; Describes When Registration Is Required and the Scope of the Agency’s Cross-Border Anti-Fraud Authority;
- Barclays Charged by New York State in Connection With the Marketing and Operation of Its Dark Pool; SEC Orders Study on the Impact of Tick Size on Market Quality;
- Broker-Dealer Success Trade Securities and its President Expelled From FINRA for Ripping Off Many Former NFL and NBA Players Through a Ponzi Scheme;
- ESMA Publishes Revised EMIR Q&As; Adds New Matters Related to Reporting to Trade Repositories and of Exchange-Traded Derivatives; and more.
To access the video and article versions of this week’s Bridging the Week, click Here: