FINRA is filing with the SEC a proposed rule change to amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Eq...
CN Editor
July 29, 2019
FINRA REVIEWS DAY-TRADING RULES
SIFMA WHITE PAPER: CFP BOARD"S REGULATORY REGIME FOR CFP CERTIFICANTS IMPOSES RISKS ON FINANCIAL SERVICES FIRMS
METAVERSE POSES CHALLENGES TO SECURITIES INDUSTRY
FINRA TIGHTENS RULES AROUND CLIENT LENDING
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TRIBUNAL BANS FORMER BAY STREET EXEC, AGAIN
CIRO SANCTIONS FORMER SCOTIA SECURITIES REP FROM MARKHAM, ONTARIO
CIRO SANCTIONS ROYAL MUTUAL FUNDS INC. FOR INADEQUATE CONTROLS AND SUPERVISION
CIRO SANCTIONS FORMER NATIONAL BANK FINANCIAL ASSISTANT FROM JOLIETTE, QUEBEC