The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Nov. 7. The meeting will begin...
CN Editor
October 23, 2019
SEC CONTINTUES EFFORTS TO ASSIST MARKET PARTICIPANTS DURING IMPLEMENTATION OF TREASURY CLEARING RULES
SEC ISSUES ORDER TO REDUCE OPERATING COSTS OF CONSOLIDATED AUDIT TRAIL
SEC SEEKS PUBLIC COMMENT TO IMPROVE RULES ON RESIDENTIAL MORTGAGE-BACKED SECURITIES AND ASSET-BACKED SECURITIES
CANADIAN AI FOUNDER FACES U.S. FRAUD CHARGE
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
CIRO CYBERSECURITY UPDATES