FINRA took several steps to engage with members regarding their current and planned activities relating to digital assets. These ...
CN Editor
July 19, 2019
ADVANCING FINRA"S MISSION WITH AI
FINTECH ADOPTION THREATENS TRADITIONAL SECURITIES FIRMS: FITCH
NASAA RELEASES 2025 ENFORCEMENT REPORT
IOSCO REVIEWS IMPLEMENTATION OF RECOMMENDATIONS FOR CRYPTO AND DIGITAL ASSET MARKETS
Thank you for the feedback!!
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