The North American Securities Administrators Association (NASAA) announced that the waiver of Investment Adviser Registration Dep...
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September 18, 2026
NASAA HANDLE OVER 9,000 INVESTIGATIONS AND IMPOSE OVER $825 MILLION IN MONETARY RELIEF IN 2025 TO COMBAT FRAUD AND EXPLOITATION
NASAA ANNOUNCES SETTLEMENT WITH WELLS FARGO AND MERRILL LYNCH OVER EXCESSIVE COMMISSIONS ON SMALL-DOLLAR TRADES
OBSI 2027 FEES FOR PARTICIPATING FIRMS
COURT REJECTS REP"S SUIT AGAINST REGULATORS
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OSC FLAGS ISSUES WITH INDUSTRY AI USE
NEW WEALTH GROUP LAUNCHES PM BUSINESS COMBINING 4 FIRMS
FINTRAC STATEMENT - SANCTIONS ON CANADIAN MONEY SERVICES BUSINESSES
CIRO ALLEGES GATEKEEPER FAILURES BY CANACCORD GENUITY REP FROM CALGARY, AB