New system to enhance SRO's ability to detect possible market abuse
The Office of Financial Innovation will lead the SRO's handling of fintech-related issues
Compliance officers still hoping for national regulator, SRO merger
The rep also received a lifetime ban
A proposed rule change would better align the self-regulatory organization's provisions for information with those of OBSI
The SRO said the proposed changes would enhance the independence of its governance committee
Candidates must be officers or employees of a dealer
Compliance exams uncover an inappropriate one-size-fits-all approach
The court found that IIROC did not have to turn over more information about trading in the shares of Concordia International
Two former regulators join board of directors
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