Home Self-regulatory organizations Page 4

Keyword: Self-regulatory organizations

321 results found
A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Fund dealer chief sanctioned for misleading SRO

Terms of firm's sale weren't fully disclosed to regulators

Crypto coins

Coinbase Canada gets CSA registration

Crypto firm to pursue full dealer and ATS registration, plus SRO membership

Review process

CIRO gets clean bill of health from CSA

First oversight review finds SRO complying with recognition order

Papers with text, treasury bonds on a table, business concept. stock photo

Shining more light into Treasury markets

FINRA starts providing data on individual transactions

Rep fell for fraud scheme, sanctioned by SRO

Panel orders penalties for disgorgment and deterrence

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

FINRA fines firm over finfluencers

SRO brings first case following compliance review targeting firms' use of online influencers

Rep sanctioned for advising via Discord platform

Online posts amounted to securities-related business, CIRO panel found

rules and regulations

CIRO seeks new securities lending rules

Proposals aim to codify investor protections, enhance flexibility

see-saw with king chess piece and pawns

Orgs push back on more latitude for fund dealers

CIRO faces opposition on proposals covering managed accounts and temporary discretionary accounts

right or wrong choice

CIRO rule book harmonization faces backlash

Stakeholders are concerned about cost, complexity and lack of imagination