Keyword: Self-regulatory organizations

330 results found
confused man

SRO reform should serve the public interest and investors’ needs, writes John Carson of FAIR Canada

Investors want regulation that will watch their back and a regulator they can trust, writes Ken Kivenko

Partners discussing new plans

SRO reform can lead to a better outcome for dealers and their clients

The self-regulatory organization calls on fund dealers to participate in policy consultations

Nominations for market reg and fixed-income committees due Aug. 21

Why SROs work well for investors and the industry

The SRO staff's authority to rule on exemption applications has been extended

Maureen Jensen will serve as a public governor for the U.S. SRO

man using laptop

SRO to consider a return to live events in 2021

Proposal is one of several set out in SRO's priorities for the current year