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
SEC OFF-CHANNEL COMMUNICATIONS SETTLEMENTS - SRO COLLATERAL CONSEQUENCES
VENDORS, INTELLIGENCE SHARING AND FINRA"S MISSION
FINRA STATEMENT TO CORRECT MISINFORMATION ABOUT FINRA"S OUTSIDE ACTIVITIES PROPOSAL
CIRO SANCTIONS FORMER INVESTIA FINANCIAL SERVICES REP FROM REGINA, SK
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GUIDANCE ON DEALER MEMBER TRAINING FOR REGISTERED REPRESENTATIVES AND INVESTMENT REPRESENTATIVES
EX-ADVISORY FIRM CEO LANDS IN PRISON
OSC RESEARCH UNCOVERS CONCERNS ABOUT FINFLUENCERS" POWER OF PERSUASION