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
SEC CHARGES NEW JERSEY INVESTMENT ADVISER AND HIS FIRM WITH FRAUD AND OTHER VIOLATIONS
BCSC NOTICE AND REQUEST FOR COMMENT - PROPOSED AMENDMENTS TO NI 94-101 MANDATORY CENTRAL COUNTERPARTY CLEARING OF DERIVATIVES
SEC CHARGES INVESTMENT ADVISER AND TWO OFFICERS FOR MISUSE OF FUND AND PORTFOLIO COMPANY ASSETS
FINRA ORDERS ROBINHOOD FINANCIAL TO PAY $3.75 MILLION IN RESTITUTION TO CUSTOMERS; FINES ROBINHOOD FINANCIAL AND ROBINHOOD SECURITIES FOR ANTI-MONEY LAUNDERING, SUPERVISORY AND DISCLOSURE VIOLATIONS
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CIRO COMPLIANCE REPORT FOR 2025: HELPING DEALERS WITH COMPLIANCE
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IFIC MAKES SUBMISSION ON PHASE 4 OF CIRO"S RULE CONSOLIDATION PROJECT