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:
About the Author
President of Gary DeWaal and Associates, LLC, a consulting firm specializing in the financial services industry and regulatory matters. Previously he served as Senior Managing Director and General Counsel of Newedge as well as a member of Newedge’s governing Executive Committee. Newedge was created by the merger of Calyon Financial and Fimat, which he joined in March 1995. Previously Gary worked for the CFTC’s Division of Enforcement.
In 2010, Gary was selected as one of the top five general counsels in the world by the International Law Office in association with the Association of Corporate Counsel. He is frequently quoted in the media for his thoughts on the international financial services industry. His website is www.garydewaalandassociates.com.