The Rules and Policies Committee of Bourse de Montréal Inc. (the “Bourse”) approved amendments to some definitions and to article...
CN Editor
March 05, 2019
SEC FINALIZES RULES TO REDUCE RISKS IN CLEARANCE AND SETTLEMENT
SEC PROPOSES REVISION TO PRIVACY ACT RULE
AMENDMENTS TO THE IIROC RULES AND FORM 1 RELATING TO THE FUTURES SEGREGATION AND PORTABILITY CUSTOMER PROTECTION REGIME
FINRA LAUNCHES HIGH-TECH RULEBOOK
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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