SRO meeting terms of recognition order, three issues flagged by regulators
SRO proposes rule changes, calls for an industry-wide technological solution
SRO data shows that aggregate industry profits, rep counts rise
Stronger than expected revenues enables SRO to return US$50 million to brokers
On July 1, Quebec joins effort to streamline registration, cut regulatory burden
SRO sees jump in complaints, investigations, but proceedings down
Regulator outlines examination priorities for fiscal 2026
SRO proposes rule changes that give firms time for appeals to SEC
SRO aims to ease compliance, adjust limit to inflation
New firm failed to adequately review trading, client comms, SRO alleged