IIROC has published for comment proposed amendments (Proposed Amendments) to IIROC’s Universal Market Integrity Rules (UMIR) and...
CN Editor
September 06, 2019
NOTICE OF REQUEST FOR COMMENT - PROPOSED AMENDMENTS TO OSC RULE 48-501 TRADING DURING DISTRIBUTIONS, FORMAL BIDS AND SHARE EXCHANGE TRANSACTIONS AND PROPOSED CHANGES TO COMPANION POLICY 48-501
SEC SOLICITS PUBLIC COMMENT ON THE FOREIGN PRIVATE ISSUER DEFINITION
BCSC NOTICE AND REQUEST FOR COMMENT - PROPOSED AMENDMENTS TO NI 94-101 MANDATORY CENTRAL COUNTERPARTY CLEARING OF DERIVATIVES
PROPOSED AMENDMENTS RESPECTING CONTINGENT DERIVATIVE ORDERS
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CIRO SANCTIONS CANACCORD GENUITY CORP. FOR FAILING TO MEET GATEKEEPER OBLIGATIONS
SEC FINES CANADIAN FIRM OVER REGISTRATION
CIRO SANCTIONS FORMER INVESTORS GROUP FINANCIAL SERVICES REP FROM CALGARY, AB
FINRA PROPOSES GIFT LIMIT INCREASE