FINRA announced that it has fined Cantor Fitzgerald & Co. (Cantor) $2 million for Regulation SHO (Reg SHO) violations and supervi...
CN Editor
March 06, 2019
FINRA ORDERS FOUR FIRMS TO PAY $2.6 MILLION FOR VIOLATIONS RELATING TO FULLY PAID SECURITIES LENDING
TRIBUNAL CALMS SRO WORRIES ABOUT ENFORCEMENT DISCLOSURE
FINRA FINES BOFA SECURITIES $24 MILLION FOR TREASURIES SPOOFING AND RELATED SUPERVISORY FAILURES
FINRA GETS GREEN LIGHT FOR REMOTE OVERSIGHT
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A PERFECT STORM LIES AHEAD FOR ADVISORS AND DEALERS
BANK CUSTOMER QUESTIONS SIGNIFICANT FEES CHARGED TO HIS BUSINESS ACCOUNT
FINTRAC PUBLISHES ITS 2022-23 ANNUAL REPORT, SAFE CANADIANS, SECURE ECONOMY
CIRO SANCTIONS POLLITT & CO. INC. FOR INTERNAL CONTROL VIOLATIONS