Fees for investment dealers to rise 6.4%, annual report says
Proposal aims to ease regulatory costs, encourage capital formation by mature issuers
In joint letter, industry associations lobby against proposed changes
Advisors identify struggles such as back-office glitches and gaps in business support
SRO to expand former MFDA project to all dealers in 2024
Regulators found firms are failing to identify and manage conflicts in clients' best interests
His departure, effective July 31, has kickstarted other executive shifts
Firm admitted to serving retail investors before SRO approvals, systems in place
Protect your business, reputation and clients by knowing your rights and obligations
Issuance weakest since 1995 as IPOs, structured products and preferred issues were all scarce
aHR0cHM6Ly93d3cuaW52ZXN0bWVudGV4ZWN1dGl2ZS5jb20vdGFnL2ludmVzdG1lbnQtZGVhbGVycy9wYWdlLzE3Lw(U2NyZWVuSGVpZ2h0)NzIw(U2NyZWVuV2lkdGg)MTI4MA(T0ZTWVNfUmVmZXJyZXI)(dmlzaXRvcktleQ)R0c5QmhRZjE(dmlzaXRLZXk)QVk3REswMXM){kind=small}