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  1. Alan Husdal
    The agents had similar answer sequences on their licensing exams
  2. James Langton
    FCNB releases capital markets report
  3. James Langton
    The guidelines aim to ensure greater consistency in reporting by trade repositories
  4. James Langton
    The Quebec regulator intends to publish a governance and compliance guide for firms in early 2018
  5. James Langton
    Investment industry firms urged to do more to prepare for and respond to the needs of vulnerable investors
  6. Alan Husdal
    The competition will focus on tech-driven solutions that could help industry firms meet their regulatory requirements
  7. James Langton
    Enforcement division releases report on priorities and enforcement activity
  8. James Langton
    A new report from the Public Investors Arbitration Bar Association says that six of FINRA’s 13 current and immediate past public governors “appear to have conflicts of interest”
  9. James Langton
    Interest rate shocks for some households could be “significant,” report warns
  10. James Langton
    Regulators allege compliance deficiencies in the firm’s market data reporting are hampering oversight