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