In September 2024, the SEC approved amendments (Amendments) to FINRA’s TRACE reporting rules to reduce the current 15-minute time...
CN Editor
February 06, 2025
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
FINRA FOUNDATION RELEASES FINDINGS ON FRAUD AWARENESS AMONG INVESTORS
BANNED ADVISOR GETS JAIL FOR FRAUD IN U.S.
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.