FINRA issued Regulatory Notice 19-28 to remind member firms of their supervisory obligations under FINRA Rules 3110 (Supervision)...
CN Editor
August 19, 2019
METAVERSE POSES CHALLENGES TO SECURITIES INDUSTRY
FINRA TIGHTENS RULES AROUND CLIENT LENDING
FINRA CHAIR BECOMES NEW CEO OF FUSIONIQ
CFTC ISSUES FIRST VOLUNTARY CARBON MARKETS GUIDANCE
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CIRO SANCTIONS RBC DOMINION SECURITIES FOR TRADING RULE VIOLATIONS
NEW WEBCAST: CLIENT FOCUSED REFORMS: CONFLICTS OF INTEREST & JOINT SWEEP CSA/CIRO REPORT
TRIBUNAL BANS FORMER BAY STREET EXEC, AGAIN
CIRO SANCTIONS FORMER SCOTIA SECURITIES REP FROM MARKHAM, ONTARIO