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 REPORT ON USE OF 2022 FINE MONIES
IOSCO SETS THE STANDARD FOR GLOBAL CRYPTO REGULATION
HOT TOPICS IN AML AND FINANCIAL CRIMES FOR BROKER-DEALERS
SEC PROPOSES RULE AMENDMENTS AND NEW RULE TO IMPROVE RISK MANAGEMENT AND RESILIENCE OF COVERED CLEARING AGENCIES
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CEO SETTLES WITH ASC AFTER ADMITTING TO "TIPPING"
NEW SRO ALLEGES FORMER SCOTIA SECURITIES INC REP FALSIFIED CLIENT SIGNATURES AND MADE FALSE OR MISLEADING STATEMENTS DURING INVESTIGATION
NEW SRO ALLEGES FORMER CANACCORD GENUITY CORP REP FAILED TO LEARN AND REMAIN INFORMED OF THE ESSENTIAL FACTS RELATIVE TO A CLIENT
SEC ISSUES LARGEST-EVER WHISTLEBLOWER AWARD