The FINRA Board of Governors has appointed Peter R. Fisher as a new public Governor. Fisher currently teaches at the Tuck School ...
CN Editor
October 17, 2019
IOSCO PUBLISHES FINAL REPORT ON REGULATORY IMPLICATIONS AND GOOD PRACTICES ON THE EVOLUTION OF MARKET STRUCTURES
FINRA POISED TO HIKE BROKER"S FEE
FINRA REVIEWS DAY-TRADING RULES
SIFMA WHITE PAPER: CFP BOARD"S REGULATORY REGIME FOR CFP CERTIFICANTS IMPOSES RISKS ON FINANCIAL SERVICES FIRMS
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CIRO SANCTIONS DESJARDINS SECURITIES INC. FOR INADEQUATE SUPERVISION
CIRO SANCTIONS FORMER BMO INVESTMENTS REP FROM GUELPH, ON
EXEMPTIONS GRANTED BY CIRO IN 2023
CANADIAN SECURITIES REGULATORS EXPLORE STREAMLINING REGISTRATION DELEGATION TO THE CANADIAN INVESTMENT REGULATORY ORGANIZATION