Investment banking, trading revenues expected to rise in Q4
Fund investors paid front-end loads, moved into fee-based accounts sooner than expected, regulators alleged
CCIR, CISRO propose new guidance on the design, distribution of seg funds
Record debt issuance powers strong year for investment banking revenues: LSEG
Exchange seeks change to dark trading price improvement rules, feedback on unintentional crosses
Firms failed to ensure that investors got fund fee rebates, waivers
Regulators seek more useful, flexible product disclosures
TDAM to pay $70.25 million to settle class action over the payment of trailers to discount brokers
Rep circumvented registration limits to trade wider range of securities
Regulator launches effort to enhance transparency of firms' dispute resolution efforts