The CDCC proposes to (i) shorten the time frames for the monthly options expiry provided for in Section 2-7 of its Operations Man...
CN Editor
May 08, 2019
CANADIAN SECURITIES REGULATORS PROPOSE INTRODUCTION OF EXPEDITED SHELF PROSPECTUS REGIME FOR WELL-KNOWN SEASONED ISSUERS
CIRO PROPOSED CLARIFYING AMENDMENTS TO REGISTRATION AND PROFICIENCY REQUIREMENTS
SEC REOPENS COMMENT PERIOD FOR ENHANCED SAFEGUARDING RULE FOR REGISTERED INVESTMENT ADVISERS PROPOSAL
REPUBLICATION OF PROPOSED AMENDMENTS REGARDING MARGIN REQUIREMENTS FOR STRUCTURED PRODUCTS
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CIRO ALLEGES PI FINANCIAL CORP REP FAILED IN HIS GATEKEEPER OBLIGATIONS
COMPETENCY PROFILES FOR APPROVED PERSONS (INVESTMENT DEALERS)
SEC CHARGES VIRTU FOR FALSE AND MISLEADING DISCLOSURES RELATING TO INFORMATION BARRIERS
CIRO ADVISORY COMMITTEES