The SEC announced settled administrative proceedings against Swapnil Rege, a North Brunswick, New Jersey portfolio manager and tr...
CN Editor
July 19, 2019
SEC CHARGES FIVE INVESTMENT ADVISERS FOR MARKETING RULE VIOLATIONS
FEDERAL COURT SANCTIONS NEVADA METALS TRADER FOR SPOOFING IN GOLD AND SILVER MARKETS
SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures
SEC ENCOURAGES INVESTORS TO PLAN FOR THEIR FINANCIAL FUTURE DURING FINANCIAL CAPABILITY MONTH
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CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
CANADIAN SECURITIES REGULATORS PUBLISH TWO NEW ANNUAL REPORTS