IIROC is proposing amendments to Rule 2650 (Continuing Education Requirements for Approved Persons). IIROC Notice 19-0117 outline...
CN Editor
July 12, 2019
IOSCO SETS THE STANDARD FOR GLOBAL CRYPTO REGULATION
SEC PROPOSES RULE AMENDMENTS AND NEW RULE TO IMPROVE RISK MANAGEMENT AND RESILIENCE OF COVERED CLEARING AGENCIES
SEC REOPENS COMMENT PERIOD FOR PROPOSED RULE AMENDMENTS TO MODERNIZE BENEFICIAL OWNERSHIP REPORTING
NEW SRO AMENDMENTS TO FACILITATE THE INVESTMENT INDUSTRY"S MOVE TO T+1 SETTLEMENT
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CEO SETTLES WITH ASC AFTER ADMITTING TO "TIPPING"
NEW SRO ALLEGES FORMER SCOTIA SECURITIES INC REP FALSIFIED CLIENT SIGNATURES AND MADE FALSE OR MISLEADING STATEMENTS DURING INVESTIGATION
NEW SRO ALLEGES FORMER CANACCORD GENUITY CORP REP FAILED TO LEARN AND REMAIN INFORMED OF THE ESSENTIAL FACTS RELATIVE TO A CLIENT
SEC ISSUES LARGEST-EVER WHISTLEBLOWER AWARD