Refine list by
Type
Author/Interviewer
  A (20)
  B (3)
  C (111)
  D (8)
  E (2)
  F (101)
  G (2)
  H (4)
  I (3071)
  J (5366)
  K (15)
  L (15)
  O (9)
  Others (2)
    _ _ (2)
  P (9)
  R (49)
  S (31)
  T (26)
    Tom Hays (1)
  M (186)
  1. James Langton
    Amendments seek to appropriately restrict a dealer’s ability to use client free credit cash balances
  2. James Langton
    New reports designed to help firms spot and halt potential market manipulation
  3. James Langton
    Not all member regulators are in agreement
  4. James Langton
    Proposal would enable regulators to efficiently track all trading activity in the U.S. equity and options market
  5. James Langton
    The allegations against the firm and Dianne Stuart stemmed from the firm taking $6 million from clients and diverting it to other uses
  6. Tessie Sanci
    Although only the CSA has the jurisdiction to change the regulatory landscape in Canada, the white paper raises some very important questions for regulators, said Mark Gordon
  7. Tessie Sanci
    Advisors must fulfil their proficiency requirements and dealers must have the technological systems in place to trade ETFs
  8. IE Staff
    Candice Graf ordered to pay $250,000 administrative penalty
  9. James Langton
    The new program will be officially rolled out in October in Madrid
  10. Tessie Sanci
    The SRO is looking to expand its MOU with FSCO to include reciprocal discipline in areas such as outside business activities and borrowing from clients