A collection of U.S. state attorneys general is suing the U.S. Securities and Exchange Commission (SEC), charging that the regula...
CN Editor
September 11, 2019
MFDA PERFORMANCE REPORTING TARGETED REVIEW
FSRA PROPOSES FEES FOR TITLE REGULATION
SEC SETTLES WITH UBS OVER USE OF VOLATILITY-LINKED PRODUCT
MFDA HEARING PANEL ACCEPTS SETTLEMENT AGREEMENT WITH PFSL INVESTMENTS CANADA REP
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PMAC SPRING REGULATORY & COMPLIANCE WEBCAST
CLIENT FOCUSED REFORMS - PROPOSED RULE AMENDMENTS FOR PUBLIC COMMENT
IIROC VIRTUAL CONFERENCE FOR INDUSTRY PARTICIPANTS - POSTPONED
BEWARE OF CELEBRITY-BACKED SPACS, SEC WARNS