Current head of New York Stock Exchange Regulation will retain post as FINRA chairman as well
Ontario’s securities regulator is more closely monitoring continuous disclosure filings, among other measures
Prohibition of conduct in securities-related business is also part of the penalty issued on Thursday
The council stresses that the CSA plans to implement the national registration rule this year
The new members were chosen based on their capital markets and the development of their regulatory systems
Much more cooperation among world securities regulators
Former SEC chairmen to head Investors’ Working Group
Editorial
The purpose of these regulatory changes is to reduce risk, but they will also curtail firms’ earning potential
Cost-benefit analysis would be welcome
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