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
FCA PROPOSES REFORMS TO SHORT-SELLING RULES
ADVANCING FINRA"S MISSION WITH AI
CIRO SANCTIONS FORMER PFSL INVESTMENTS CANADA REP FROM ST. THOMAS, ON
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER PFSL INVESTMENTS CANADA REP FROM WOODBRIDGE, ON
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS