The securities administrators "did not identify concerns" with the SRO
Nominations for market reg and fixed-income committees due Aug. 21
A wide range of dealers have sought regulatory relief
A supervisor in the firm's Calgary office has also been sanctioned
The SRO has said it won’t be holding in-person conferences this year
Comments are due Oct. 23
The CSA will undertake its own in-depth analysis of SRO reform, says Grant Vingoe
An appearance to set a hearing date will be held by teleconference on Aug. 17
The longtime advisor, who had no previous disciplinary history, cooperated with IIROC’s investigation
The mutual fund industry SRO has rejected IIROC's proposal for consolidation