U.S. law enforcement announced that a former day trader has pleaded guilty for his role in a novel stock manipulation scheme that...
CN Editor
July 17, 2019
CONCERNS FOLLOW REGULATORS" SURVEY OF MUTUAL FUND REPS
IA FINANCIAL"S ACQUISITION OF RF CAPITAL TO CLOSE THS WEEK
FCA PROPOSES REFORMS TO SHORT-SELLING RULES
COURT UPHOLDS TERMS OF DEALER NON-COMPETE
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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
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS