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 SANCTIONS FIRMS FOR PENNY STOCK OVERSIGHT
SIFMA SEEKS RELIEF ON SANCTIONS
SIFMA SUBMISSION TO HOUSE FINANCIAL SERVICES COMMITTEE ON CAPITAL PROPOSALS
NEW FINRA FOUNDATION RESEARCH EXAMINES THE CHARACTERISTICS, BEHAVIORS AND OUTCOMES OF RETAIL INVESTORS WHO USE SOCIAL MEDIA
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HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
JIMMY DELINIS PLEADS GUILTY IN $1.3 MILLION INVESTMENT SCHEME
CIRO ALLEGES GATEKEEPER FAILURE BY FORMER BMO NESBITT BURNS REP FROM MONTREAL, QC