SRO previews initiatives to industry event
SRO consulting on possible reforms to rules around research, underwriting
Investors didn't get paid for lending securities, SRO alleged
Firms failed to ensure that investors got fund fee rebates, waivers
Trio of firms sanctioned for regulatory reporting issues
U.S. authorities allege that men primarily posed as female advisors
Fee increase to be phased in over five years, bring projected revenues in line with expenses
SRO considers modernizing rules amid market, investor evolution
SRO examines industry's foray into virtual worlds
SRO curbs exemptions, toughens firms' approval requirements
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