On September 6, 2019, amendments to the Dealer Member Rules come into effect respecting order execution services (OES). The amen...
CN Editor
August 07, 2019
SHORT-SELLING DEALERS STAY SECRET
USE OF IDENTIFIERS AND NOTIFICATION REQUIREMENTS RESPECTING CERTAIN ORDER EXECUTION ONLY AND DIRECT ELECTRONIC ACCESS CLIENTS AND ADVISERS
GATEKEEPER REQUIRMENTS FOR DIRECT ELECTRONIC ACCESS AND ROUTING ARRANGEMENTS
GUIDANCE RESPECTING ORDER EXECUTION ONLY ACCOUNTS AS A FORM OF THIRD-PARTY ELECTRONIC ACCESS TO MARKETPLACES
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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