The self-regulatory organization is advising that firms take precautions
Individuals were sanctioned a similar amount
The SRO highlighted leveraged and inverse ETFs
The SRO is offering temporary relief to firms facing Covid-19 hardship
Firm must pay $250,000 fine and costs
It's still possible to build your book during a pandemic
Late fees incurred between April 17 and June 1 will be waived
Conflict provisions have been delayed by six months, while disclosure has been pushed back by a year
Five European regulators extend short ban to May 18
SRO fees are being pushed back for small and mid-size firms, which represent 90% of investment dealers