The SEC released the agenda for the Nov. 4 meeting of the Fixed Income Market Structure Advisory Committee (FIMSAC). The meeting ...
CN Editor
November 04, 2019
SEC PUBLISHES UPDATED MARKET STATISTICS, HIGHLIGHTING INCREASE IN IPOS AND PROCEEDS RAISED
SEC SANCTIONS "WHITE LABEL" CFD TRADERS
FINRA TO CUT RETAKE TIME BETWEEN EXAM ATTEMPTS FOR ASPIRING REPS
SEC SEEKS PUBLIC COMMENT ON NOVEL EXCHANGE-TRADED FUNDS
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REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS