SRO to host online event Nov. 27, second session on Dec. 17
The regulator reduced a rep's fine and suspension following an appeal
The proposed rule changes would include relief from certain re-papering requirements
OSC to consider whether IIROC hearing can go electronic
Regulators seek whistleblower tips on short selling ahead of new offerings
With conduct rules looming, the investment industry has work to do
Three new directors were appointed
The firm reported that clients had paid trailers on fee-based accounts
The regulator has published best practices for electronic proceedings
Most respondents to an MFDA poll said they supported rethinking the current SRO framework