The SEC announced that is has voted to adopt a new rule and form amendments that are designed to modernize the regulation of exch...
CN Editor
September 27, 2019
SEC PUBLISHES DATA ON BROKER-DEALERS, MERGERS & ACQUISITIONS, AND BUSINESS DEVELOPMENT COMPANIES
B.C. COURT UPHOLDS RULING TO ENFORCE SEC ORDER
SEC OFFICE OF THE INVESTOR ADVOCATE DELIVERS TO CONGRESS REPORT ON OBJECTIVES FOR FISCAL YEAR 2026
REGULATORS TO HOLD OUTREACH EVENT FOR MUNICIPAL MARKET PROFESSIONALS
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SEC FINES CANADIAN FIRM OVER REGISTRATION
FINRA PROPOSES GIFT LIMIT INCREASE
FINANCIAL ACTION TASK FORCE IDENTIFIES JURISDICTIONS WITH ANTI-MONEY LAUNDERING, COUNTERING THE FINANCING OF TERRORISM, AND COUNTER-PROLIFERATION FINANCE DEFICIENCIES
OPINION: CANADA"S NEW AML REGULATIONS ARE A WAKE-UP CALL