In a comment letter on a rule proposed by the Nevada Securities Division creating a state fiduciary standard, SIFMA expressed str...
CN Editor
March 04, 2019
FINRA ORDERS FOUR FIRMS TO PAY $2.6 MILLION FOR VIOLATIONS RELATING TO FULLY PAID SECURITIES LENDING
IIAC COMMENTS TO THE CSA REQUEST FOR FEEDBACK ON DECEMBER 2022 SEC MARKET STRUCTURE PROPOSALS AND POTENTIAL IMPACT ON CANADIAN CAPITAL MARKETS
CFTC ISSUES PROPOSED GUIDANCE REGARDING THE LISTING OF VOLUNTARY CARBON CREDIT DERIVATIVES CONTRACTS
FINRA FINES BOFA SECURITIES $24 MILLION FOR TREASURIES SPOOFING AND RELATED SUPERVISORY FAILURES
Thank you for the feedback!!
A PERFECT STORM LIES AHEAD FOR ADVISORS AND DEALERS
BANK CUSTOMER QUESTIONS SIGNIFICANT FEES CHARGED TO HIS BUSINESS ACCOUNT
FINTRAC PUBLISHES ITS 2022-23 ANNUAL REPORT, SAFE CANADIANS, SECURE ECONOMY
CIRO SANCTIONS POLLITT & CO. INC. FOR INTERNAL CONTROL VIOLATIONS