The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) announced the opening of reg...
CN Editor
April 17, 2019
MODERNIZING SEC RULES TO REFLECT TODAY"S COMMUNICATIONS PRACTICES
VICTIMS OF U.S. - BASED DFRF FRAUD CAN SEEK COMPENSATION WITH U.S. AUTHORITIES
FINRA FOUNDATION RELEASES FINDINGS ON FRAUD AWARENESS AMONG INVESTORS
SEC CONTINTUES EFFORTS TO ASSIST MARKET PARTICIPANTS DURING IMPLEMENTATION OF TREASURY CLEARING RULES
Thank you for the feedback!!
CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS