Regulatory

Trade confirmation disclosure guidance finalized

IIROC issues new trading guidance.

By Staff |November 25, 2013

1 min read

SEC supports fiduciary standard

SEC wants to rein in U.S. broker-dealers.

By Staff |November 25, 2013

2 min read

Regulators propose exemption for venture issuers

The securities regulatory authorities in British Columbia, Alberta, Saskatchewan, Manitoba, Québec, New Brunswick, Nova Scotia, Yukon, Northwest Territories, Nunavut, and Prince Edward Island today published for comment a proposed prospectus exemption that would, subject to certain conditions, allow issuers listed on the TSX Venture Exchange (TSX-V) to raise money by distributing securities to their existing security holders.

By Staff |November 21, 2013

2 min read

Don’t let clients break the rules

Some clients want to bend the rules to save time. But you work in a highly regulated business and can’t afford a misstep.

By Bryce Sanders |November 18, 2013

3 min read