The North American Securities Administrators Association (NASAA) is seeking public comment on proposed amendments to four rules r...
CN Editor
July 30, 2025
PROPOSED AMENDMENTS TO BC INSTRUMENT 22-502
STATES AND CFTC SECURE FINAL JUDGMENT AGAINST PRECIOUS METALS FIRM THAT DEFRAUDED ELDERLY ADULTS
NASAA RELEASES 2025 ENFORCEMENT REPORT
BCSC NOTICE AND REQUEST FOR COMMENT - PROPOSED AMENDMENTS TO BC INSTRUMENT 22-502 REGISTRATION BY THE INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA
Thank you for the feedback!!
CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES
APPLICATION OF UMIR TO THE TRADING ACTIVITY OF AN ACCESS PERSON
CIRO SANCTIONS HAYWOOD SECURITIES INC. FOR SUPERVISION FAILURES
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON