The North American Securities Administrators Association (NASAA) announced that a taskforce of state securities regulators and th...
CN Editor
January 20, 2025
SEC CHARGES CANADIAN CITIZEN WITH FRAUD SCHEMES THAT TARGETED RETAIL INVESTORS ON DISCORD
SEC SUPPORTS LIFTING CONSTRAINTS ON EQUITY RESEARCH
VIRTU SANCTIONED BY SEC
FINRA ORDERS SECURITIES AMERICA TO PAY $2 MILLION IN RESTITUTION TO CUSTOMERS, FINES FIRM $1 MILLION FOR MUTUAL FUND SUPERVISION FAILURES
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CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES
APPLICATION OF UMIR TO THE TRADING ACTIVITY OF AN ACCESS PERSON
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
GUIDANCE ON DOUBLE PRINTING