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
JP MORGAN AFFILIATES TO PAY $151 MILLION TO RESOLVE SEC ENFORCEMENT ACTIONS
SIFMA WHITE PAPER: CFP BOARD"S REGULATORY REGIME FOR CFP CERTIFICANTS IMPOSES RISKS ON FINANCIAL SERVICES FIRMS
SEC ADOPTS RULE AMENDMENTS AND NEW RULE TO IMPROVE RISK MANAGEMENT AND RESILIENCE OF COVERED CLEARING AGENCIES
SEC SMALL BUSINESS ADVISORY COMMITTEE TO DISCUSS APPROACHES TO VENTURE CAPITAL FUNDRAISING AND CHALLENGES FACING EMERGING FUND MANAGERS
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TRIBUNAL BANS FORMER BAY STREET EXEC, AGAIN
CIRO SANCTIONS FORMER SCOTIA SECURITIES REP FROM MARKHAM, ONTARIO
CIRO SANCTIONS ROYAL MUTUAL FUNDS INC. FOR INADEQUATE CONTROLS AND SUPERVISION
CIRO SANCTIONS FORMER NATIONAL BANK FINANCIAL ASSISTANT FROM JOLIETTE, QUEBEC