On July 25, 2019, the applicable securities regulatory authorities approved amendments to UMIR Rule
6.6 (Amendments) that modify...
August 09, 2019
NEW SRO AMENDMENTS TO FACILITATE THE INVESTMENT INDUSTRY"S MOVE TO T+1 SETTLEMENT
NEW SRO GUIDANCE NOTE: PROCEDURES FOR HANDLING CERTAIN DESIGNATED TRADES AS PRINCIPAL
COURT UPHOLDS OSC DECISION DENYING REP"S APPEAL
NEW SRO INVESTOR ALERT: SOHOCAPITALGROUP
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CEO SETTLES WITH ASC AFTER ADMITTING TO "TIPPING"
NEW SRO ALLEGES FORMER SCOTIA SECURITIES INC REP FALSIFIED CLIENT SIGNATURES AND MADE FALSE OR MISLEADING STATEMENTS DURING INVESTIGATION
NEW SRO ALLEGES FORMER CANACCORD GENUITY CORP REP FAILED TO LEARN AND REMAIN INFORMED OF THE ESSENTIAL FACTS RELATIVE TO A CLIENT
SEC ISSUES LARGEST-EVER WHISTLEBLOWER AWARD