In a bid to stoke competition and innovation in the ETF industry, U.S. securities regulators are modernizing the rules for ETFs. ...
CN Editor
October 01, 2019
KEY LEGAL AND REGULATORY ISSUES TO HEED
FORMER WELLS FARGO SENIOR EXECUTIVE CARRIE TOLSTEDT AGREES TO SETTLE SEC FRAUD CHARGES FOR MISLEADING INVESTORS ABOUT ABUSIVE SALES PRACTICES TO INFLATE A KEY PERFORMANCE METRIC
CCMA SEEKS REGULATORY CERTAINTY FOR T+1
CYBERATTACKS A MATTER OF WHEN, NOT IF: INDUSTRY LEADERS
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CEO SETTLES WITH ASC AFTER ADMITTING TO "TIPPING"
NEW SRO ALLEGES FORMER SCOTIA SECURITIES INC REP FALSIFIED CLIENT SIGNATURES AND MADE FALSE OR MISLEADING STATEMENTS DURING INVESTIGATION
SEC ISSUES LARGEST-EVER WHISTLEBLOWER AWARD
THE LONG ROAD TO TOTAL COST REPORTING