The Securities and Exchange Commission Retail Strategy Task Force will host a roundtable on Oct. 3 on combating elder investor fr...
CN Editor
September 27, 2019
SEC CHARGES TRADING CHATROOM MODERATOR
SEC SHUTS DOWN WEEDGENICS $60 MILLION CANNABIS OFFERING FRAUD
MELLISSA CAMPBELL DURU NAMED DIVISION OF CORPORATION FINANCE"S DEPUTY DIRECTOR FOR LEGAL AND REGULATORY POLICY
SEC PROPOSES RULE AMENDMENTS AND NEW RULE TO IMPROVE RISK MANAGEMENT AND RESILIENCE OF COVERED CLEARING AGENCIES
Thank you for the feedback!!
NEW SRO ALLEGES FORMER SCOTIA CAPITAL INC. REP CONDUCTED OFF-BOOK INVESTMENTS WITHOUT AUTHORIZATION
NEW SRO ALLEGES FORMER CIBC SECURITIES INC. REP MISAPPROPRIATED FUNDS AND ENGAGED IN PERSONAL FINANCIAL DEALINGS WITH A CLIENT
OSC PUBLISHES ITS 2023-2024 STATEMENT OF PRIORITIES
NEW SRO SANCTIONS FORMER SCOTIA CAPITAL INC. REP FROM HALIFAX, NS