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 FINES UBS FINANCIAL $20 MILLION FOR ANTI-MONEY LAUNDERING VIOLATIONS
STRENGTHENING EXAM PROGRAM THROUGH INNOVATION AND TRANSPARENCY
FINRA TO CUT RETAKE TIME BETWEEN EXAM ATTEMPTS FOR ASPIRING REPS
SIFMA URGES THE SEC TO TAKE DIRECT CONTROL OF THE CAT
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CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
EX-TD BANKERS LAND IN JAIL
CIRO SANCTIONS SCOTIA SECURITIES FOR COMPLAINT HANDLING FAILURES
SIMA RESPONDS TO CIRO"S PROPOSED CHANGES TO CLIENT DELIVERY OBLIGATIONS