The Securities and Exchange Commission adopted amendments to the rule permitting certain internet investment advisers to register...
CN Editor
March 28, 2024
SEC DIVISION OF EXAMINATIONS ANNOUNCES 2026 PRIORITIES
FAKE ADVISORY FIRMS IN "RAMP-AND-DUMP" SCAM: SEC
SEC ISSUES EXEMPTIVE ORDER REGARDING COMPLIANCE WITH CERTAIN RULES UNDER REGULATION NMS
CIRO ISSUES UPDATES ON PROPOSED INCORPORATED ADVISOR RULE AMENDMENTS
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP