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CIRO ALLEGES GATEKEEPER FAILURES BY FORMER BMO NESBITT BURNS REP FROM MONTREAL, QC

CIRO has scheduled a disciplinary hearing for Milan Sharma (Sharma), a former Registered Representative with BMO Nesbitt Burns Inc. from Montreal, Quebec. CIRO alleged that Sharma failed to act as a ...

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Investment Executive
SEC WRAPS CASE AGAINST CANADIAN IN TRADING SCHEME
July 14, 2026

A Canadian who was accused of facilitating an illicit offshore trading scheme involving microcap companies has settled with the U...

Investment Executive
SEC SANCTIONS INSIDER TRADING
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A former executive at an investor relations firm and a couple of his friends who traded on advance knowledge of pending corporate...

Investment Executive
ASIC SANCTION DEUTSCHE BANK FOR TRADE REPORTING
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German banking giant Deutsche Bank AG is paying A$2 million to resolve Australian regulators’ allegations of trade reporting fail...

SEC
SEC OFFICE OF MUNICIPAL SECURITIES UPDATES FAQS FOR REGISTRATION OF MUNICIPAL ADVISORS
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The Securities and Exchange Commission’s Office of Municipal Securities announced it has updated its Registration of Municipal Ad...

Investment Executive
EXCHANGE AIMS TO RIVAL PREDICTION MARKETS
July 13, 2026

The Cboe Exchange, Inc. is proposing to list binary options on a series of performance indicators at various major U.S. companies...

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