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 CHARGES VIRGINIA ENGINEER WITH ORCHESTRATING $30 MILLION OFFERING FRAUD
CANADIAN SECURITIES REGULATORS ANNOUNCE TEMPORARY EXEMPTIONS FOR DERIVATIVES DEALERS AND ADVISERS
SEC LAUNCHES INTERAGENCY SECURITIES COUNCIL TO COORDINATE ENFORCEMENT EFFORTS ACROSS FEDERAL, STATE, AND LOCAL AGENCIES
PROPOSED AMENDMENTS RESPECTING NET ASSET VALUE ORDERS AND INTENTIONAL CROSSES
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TD BANK ORDERED TO IDENTIFY WHISTLEBLOWER
B.C. FIRM AND FORMER CEO AGREE TO PAY NEARLY HALF A MILLION DOLLARS FOR COMPLIANCE DEFICIENCIES
FAKE INVESTMENT FIRM SANCTIONED
AMF ENTERS INTO AN AGREEMENT WITH APPLE CANADA INC.