Weekly Regulatory Deadlines | Mar 20 to Mar 26
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
SEC | Broker-Dealer, Securities | Final Rule
Data Breach Reported, New Cybersecurity Legislation Introduced
Credit Union Times 03/21/2019
Internet of things legislation, a possible Michigan medical data breach of 600,000 people, Microsoft and Google vulnerabilities, and tax season scams highlight a roundup of cybersecurity news and notes...
Citi Faces $1.2M Fine Over Japan 'Spoofing' Allegations
Law 360 03/26/2019
Japan’s financial watchdog said Tuesday it has recommended that a British unit of Citigroup Inc. should be fined 133 million yen ($1.2 million) for allegedly manipulating prices in the Japanese government...