SRO proposes rule changes, calls for an industry-wide technological solution
SRO sees jump in complaints, investigations, but proceedings down
Privacy commission upholds decision to protect tipster's identity
Panel believed rep's evidence over allegations from former client
U.K. regulator consults on changes to rules under new retail product regime
SRO limits margin accounts to Level 4 dealers in final phase of rule consolidation project
Regulator defends its conduct in 'mini-bond' investigations
Regulator launches effort to enhance transparency of firms' dispute resolution efforts
OSC provides investor advocate with $11 million in funding over six years
Regulators aim to improve handling of systemic issues