Agreement aims to improve investor protection by establishing a unified approach to market oversight
RBC Capital Markets fined US$135,000
Increase in complaints prompts reminder to firms
The head of enforcement at the U.S. brokerage industry’s self-regulatory organization announced Thursday that she is stepping down from her post.Susan Merrill, who has headed enforcement at the Financial Industry Regulatory Authority, and before that headed enforcement at New York Stock Exchange Regulation, is to return to private practice. Her departure date has yet to […]
In fact, IIROC’s disciplinary decision rate has typically outpaced FINRA’s over the past five years
TRACE expansion will will significantly enhance the transparency in the debt markets
Proposed changes will provide additional information to investors
Social networking sites and blogs raise new regulatory challenges
SEC approves expansion of BrokerCheck service
Agreement establishes formal basis for information sharing