The Securities and Exchange Commission adopted amendments to the rule permitting certain internet investment advisers to register...
CN Editor
March 28, 2024
MODERNIZING SEC RULES TO REFLECT TODAY"S COMMUNICATIONS PRACTICES
VICTIMS OF U.S. - BASED DFRF FRAUD CAN SEEK COMPENSATION WITH U.S. AUTHORITIES
SIMA RESPONDS TO CIRO"S ACCOUNT-TRANSFER-RULE-MODERNIZATION PROPOSAL
PROPOSED AMENDMENT OF APPROVED PERSON FEES COMPONENT WITHIN THE ANNUAL FEE OF DEALER MEMBER FEE MODEL
Thank you for the feedback!!
CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
OSC SEEKS TO ENFORCE D&O SANCTIONS
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.