Keyword: Self-regulatory organizations

330 results found
right or wrong choice

Changes come in the wake of independent review of SRO's arbitration program

Judge looks at papers

The panel found a rep's misconduct to be serious, but not fraudulent or deceitful

Canadian insurance regulators have not issued a similar warning

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

After partly overturning SRO's ruling, tribunal reduces fine, disgorgement orders

man working on laptop

SRO consults on options for resolving long-standing regulatory disparity

Crypto coins

Compliance review finds potential violations in 70% of firms' messages

new rules

First phase of reforms to take effect Sept. 28

Air raid sirens

SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies

Judge looks at papers

CIRO doesn't need an order to use compelled evidence in its own proceedings, regulatory panel says

zoom call

SEC approves SRO rules to facilitate work-from-home supervision