Keyword: Self-regulatory organizations

334 results found

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

Examination of the self-regulatory framework runs until Oct. 23

The SRO's head of market regulation, Tom Gira, died June 20

CSA consultation will focus on self-regulation, not necessarily consolidation

Board approves new enforcement system, proposes rule changes

Fund industry SRO shoots down consolidation, reiterates call for overhaul

New paper promises huge payoff from SRO consolidation