SEC approves SRO rules to facilitate work-from-home supervision
Group to focus on investor-advisor relationships, complaints, suitability
Kriegler acknowledges additional burden to advisors resulting from regulatory changes
Panel defers penalties while ex-rep repays clients
SRO executive leaves after nine years at the agency
SRO examines potential implications of a computing revolution
Collections plunge as hefty sanctions are handed out
Groundbreaking securities lawyer, Glorianne Stromberg, dies
New SRO aims to harmonize requirements for fund dealers and investment dealers
The IIROC panel overlooked evidence that a rep borrowed money rather than misappropriating it