The SEC proposed a package of rule amendments and interpretive guidance to improve the framework for regulating cross-border secu...
CN Editor
May 13, 2019
MX FINDS BMO NESBITT BURNS ENGAGED IN FRONT RUNNING
SEC ISSUES EXEMPTIVE ORDER REGARDING COMPLIANCE WITH CERTAIN RULES UNDER REGULATION NMS
STATES AND CFTC SECURE FINAL JUDGMENT AGAINST PRECIOUS METALS FIRM THAT DEFRAUDED ELDERLY ADULTS
MODERNIZING SEC RULES TO REFLECT TODAY"S COMMUNICATIONS PRACTICES
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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
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP