The Securities and Exchange Commission announced settled charges against five registered investment advisers for Marketing Rule v...
CN Editor
April 15, 2024
NASAA ANNOUNCES 2026 FEE SCHEDULE FOR INVESTMENT ADVISER REGISTRATION DEPOSITORY SYSTEM
SEC APPROVES GENERIC LISTING STANDARDS FOR COMMODITY-BASED TRUST SHARES
SEC ISSUES POLICY STATEMENT CLARIFYING THAT MANDATORY ARBITRATION PROVISIONS WILL NOT AFFECT EFFECTIVENESS OF REGISTRATION STATEMENTS
SEC AND CFTC EXTEND FORM PF COMPLIANCE DATE TO OCT. 1, 2026
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AGENT SANCTIONED FOR KYC, CLIENT FUNDRAISER
OSC REJECTS NEW ORDER TYPE ON FAIR ACCESS GROUNDS
NATIONAL RISK ASSESSMENT
FINTRAC UPDATES ITS ADMINISTRATIVE MONETARY PENALITIES POLICY