The Securities and Exchange Commission proposed new rules that would require broker-dealers and investment advisers (collectively...
CN Editor
July 27, 2023
SEC, FINCEN PROPOSE CUSTOMER IDENTIFICATION PROGRAM REQUIREMENTS FOR REGISTERED INVESTMENT ADVISERS AND EXEMPT REPORTING ADVISERS
SEC CHARGES PENNSYLVANIA RESIDENT WITH INSIDER TRADING IN DICK"S SPORTING GOODS SECURITIES
SEC CHARGES AUDIT FIRM BF BORGERS AND ITS OWNER WITH MASSIVE FRAUD AFFECTING MORE THAN 1,500 SEC FILINGS
ADVISORS FACE NEW U.S. FIDUCIARY REQUIREMENTS
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CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
DO YOUR NOTES PASS THE SNIFF TEST?
NEW WAY OF PAYING FOR INVESTMENT RESEARCH PROPOSED BY THE FINANCIAL REGULATOR
FINTRAC ADVISORY: FINANCIAL TRANSACTIONS RELATED TO COUNTRIES IDENTIFIED BY THE FINANCIAL ACTION TASK FORCE