FINRA has fined First Trust Portfolios L.P. $10 million for providing excessive non-cash compensation (e.g., gifts, meals, and en...
CN Editor
November 04, 2025
CIRO ISSUES UPDATES ON PROPOSED INCORPORATED ADVISOR RULE AMENDMENTS
ADVANCING FINRA"S MISSION WITH AI
FINRA FOUNDATION RELEASES FINDINGS ON FRAUD AWARENESS AMONG INVESTORS
BANNED ADVISOR GETS JAIL FOR FRAUD IN U.S.
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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