Regulation

SEC sanctions firms’ theoretical returns reporting

Investment advisers violated revised marketing rules, regulator alleges

By James Langton |September 12, 2023

1 min read

CSA increased bans, fines in latest fiscal year

Regulators' year in review also detailed crypto oversight, CFR sweep

By Staff |September 7, 2023

2 min read

Regulators extend exemptions for discount brokers to comply with trailer ban

The exemptions were previously slated to end on Nov. 30

By Michelle Schriver |August 31, 2023

2 min read

SEC sanctions investor overcharging

Back-office snafu meant clients didn't get discounts on standard fees

By James Langton |August 25, 2023

2 min read