FINRA’s alert reinforces the SEC’s and CSA’s conclusions that certain ICOs may be considered securities
An OSC hearing will consider Earl Marek’s application in November
The SRO recorded a surplus of $6.6 million in fiscal 2017, according to the latest annual report
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