Securities

Will RCMP monitor electronic trades?

High-frequency trading in the U.S. is getting much heat from the FBI and SEC, who have teamed up against manipulative trading practices powered by ultra-sophisticated algorithmic strategies.

March 6, 2013

3 min read

Industry

NASAA urges fiduciary standard for broker-dealers

The North American Securities Administrators Association (NASAA) is calling for Congress to implement a fiduciary standard for broker-dealers.

By Staff |March 5, 2013

1 min read

Industry

Chinese firm pays $1 million to settle accounting violations

The SEC has charged a China-based petrochemical company and its former chief financial officer with accounting and disclosure violations.

By Staff |March 1, 2013

3 min read

Industry

SEC seriously considers fiduciary rule

The U.S. is one step closer to a fiduciary standard for financial advisors.

By Staff |February 15, 2013

1 min read

Industry

Securities industry healthy in Q3 2012

The Canadian securities industry posted a 7.5% year-over-year increase in annual return in Q3 2012, reports the Investment Industry Association of Canada (IIAC). While commissions were down overall 12.4%, mutual fund commissions were up 4.3%. Meanwhile, operating revenue increased 7.7% year-over-year and expenses were down 1.6%. Read the full report.

By Staff |February 5, 2013

1 min read

Industry

What to do with worthless stock

What do you do if a deceased relative's assets includes worthless stock certificates?

January 25, 2013

3 min read

Market Insights

Understanding the ETF liquidity myth

Truth is, redeemability also depends on underlying securities.

By Atul Tiwari |January 15, 2013

4 min read

Products

FINRA issues voluntary form for crowdfunding portals

FINRA has issued a voluntary Interim Form for Funding Portals designed for prospective crowdfunding portals.

By Staff |January 11, 2013

2 min read

Industry

OBSI the right choice for dispute resolution: CSA

The Canadian Securities Administrators (CSA) today published for comment amendments to CSA National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, which would require all registered dealers and advisers, outside of Québec, to use the Ombudsman for Banking Services and Investments (OBSI) as the common dispute resolution service (DRS) for the securities industry. “Mandating […]

By Staff |January 2, 2013

1 min read

Industry

Prepare to be squeezed

It may soon cost more to give advice.

By Melissa Shin |December 20, 2012

2 min read

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