The CFTC issued an Order filing and settling charges against Dean Katzelis (Katzelis) and Shahin Maleki (Maleki) d/b/a Essex Futu...
CN Editor
July 15, 2019
CIRO TO HOLD A DISCIPLINARY HEARING FOR FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON
SEC WRAPS INSIDER TRADING CASE
SEC CLARIFIES THE APPLICATION OF FEDERAL SECURITIES LAWS TO CRYPTO ASSETS
SEC"S NEW ENFORCEMENT CHIEF RESIGNS
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CIRO NEEDS TO STOP SAYING "SHOULD"
BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
OPINION: WHO WILL PAY FOR CIRO"S DATA BREACH?
FORMER BROKER CHARGED IN "FREE RIDER" CASE