The Securities and Exchange Commission enhanced its efforts to assist broker-dealers and other market participants on the path to...
CN Editor
October 01, 2025
SEC ISSUES EXEMPTIVE ORDER REGARDING COMPLIANCE WITH CERTAIN RULES UNDER REGULATION NMS
MODERNIZING SEC RULES TO REFLECT TODAY"S COMMUNICATIONS PRACTICES
VICTIMS OF U.S. - BASED DFRF FRAUD CAN SEEK COMPENSATION WITH U.S. AUTHORITIES
SEC ISSUES ORDER TO REDUCE OPERATING COSTS OF CONSOLIDATED AUDIT TRAIL
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP