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Keyword: Registration

262 results found

Regulators approve settlement with optionsXpress

Securities firm fined $550,000 for trading without being registered

  • By: IE Staff
  • September 1, 2005 September 1, 2005
  • 13:30

OSC proposes changes to its fee schedules

Comments due by November 10

  • By: IE Staff
  • August 12, 2005 August 12, 2005
  • 10:20

BCSC reprimands investment management firm

Toronto firm admits to advising clients in B.C. without being registered

  • By: IE Staff
  • July 8, 2005 July 8, 2005
  • 12:30

CSA launches Registration Reform Project Web site

RRP aims to reduce regulatory burden

  • By: IE Staff
  • June 8, 2005 June 8, 2005
  • 11:10

CSA launches national registration system

Firms and individuals can now register with just one regulator

  • By: IE Staff
  • April 18, 2005 April 18, 2005
  • 09:50

IDA suspends conditional registration approval in Alberta

Waiver letter discontinued

Quebec regulator seeking to suspend Kaufmann registration

AMF alleges firm was late in pay registration fees

BCSC reprimands investment management firm

Jarislowsky, Fraser agrees to pay registration fees

  • By: IE Staff
  • December 20, 2004 December 20, 2004
  • 10:40

IDA extends time limits for applying for registration

Individuals must enroll in continuing education program

Deadline for NRD enrolment looms for Quebec firms

Firms must register by November 30