The SEC announced that it has proposed rules to update the statistical disclosures that bank and savings and loan registrants pro...
CN Editor
September 19, 2019
NASAA ANNOUNCES 2026 FEE SCHEDULE FOR INVESTMENT ADVISER REGISTRATION DEPOSITORY SYSTEM
SEC APPROVES GENERIC LISTING STANDARDS FOR COMMODITY-BASED TRUST SHARES
SEC ISSUES POLICY STATEMENT CLARIFYING THAT MANDATORY ARBITRATION PROVISIONS WILL NOT AFFECT EFFECTIVENESS OF REGISTRATION STATEMENTS
SEC AND CFTC EXTEND FORM PF COMPLIANCE DATE TO OCT. 1, 2026
Thank you for the feedback!!
AGENT SANCTIONED FOR KYC, CLIENT FUNDRAISER
OSC REJECTS NEW ORDER TYPE ON FAIR ACCESS GROUNDS
NATIONAL RISK ASSESSMENT
FINTRAC UPDATES ITS ADMINISTRATIVE MONETARY PENALITIES POLICY