FINRA’s Board of Governors met on Sept. 24-26 at FINRA’s offices in New York, where it approved six rule proposals and received ...
CN Editor
October 04, 2019
FINRA FINES UBS FINANCIAL $20 MILLION FOR ANTI-MONEY LAUNDERING VIOLATIONS
STRENGTHENING EXAM PROGRAM THROUGH INNOVATION AND TRANSPARENCY
FINRA TO CUT RETAKE TIME BETWEEN EXAM ATTEMPTS FOR ASPIRING REPS
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
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CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
SIMA RESPONDS TO CIRO"S PROPOSED CHANGES TO CLIENT DELIVERY OBLIGATIONS
EX-TD BANKERS LAND IN JAIL
CIRO ALLEGES GATEKEEPER FAILURES BY FORMER BMO NESBITT BURNS REP FROM MONTREAL, QC