The SRO will be conducting routine business, such as electing directors, appointing auditors and considering its financial statements
James Alexander Moon, Michael Edward Comeau and Mitchell Torch admitted they failed to verify certain clients qualified as accredited investors
IIROC proposals to shorten CE cycles among industry concerns
Although a hearing panel found Michael Sutton had no intent to violate the rules, it ruled that he failed to ensure proprietary funds were priced properly
Applications for the SRO's representative on CDS's board are due by Aug. 18
The upgraded version of Nasdaq’s SMARTS technology is capable of monitoring up to a billion transactions daily, in real time
The self-regulatory organization has ordered almost $2.7 million in monetary sanctions so far this year
Corporate bond website now includes all corporate debt trades by all IIROC-regulated firms
Rule changes by IIROC would make the CSA requirements redundant
CSA oversight review says SRO failed to adequately resolve issues raised in 2015