The National Association of Securities Dealers today issued an updated Investor Alert warning investors about the risks associated with trading on margin. The regulator reports…
One would limit the use of one-, two- and three-character symbols to those listing markets that traditionally used those symbols
<i>The Practitioner</i> will provide an overview of recent issues that have arisen in the investment funds area
Most significant proposed amendment deals with take-over bids
Changes would eliminate waste and duplication in compliance
Martial Rolland and Robert Jones failed to report any changes in their control over the securities of an issuer within 10 days of the event
FSCO plans to harmonize point-of-sale disclosure for segregated and mutual funds, among others
Contest aims to make smart money management “cool” for an increasingly Web-savvy generation
Some have raised questions regarding the rule’s application and interpretation
This is up from combined earnings of $23.4 million in 2005 for those with a salary of $100,000 or more
Proposals introduce new requirement for CEO and CFO to certify that they have evaluated the effectiveness of their internal control over financial reporting
Proposal will require companies to clearly define compensation policies and objectives and provide compensation for each executive and director
Advisor effected transactions in client accounts without prior written authorization
The report will be referred to a legislative committee that will review it, hear the opinions of interested parties and report back.
But the Council of Ministers of Securities Regulation notes that there's a standing invitation for the holdout province to join
Proposals would introduce retail-oriented oriented funds of alternative investment funds
Report identifies common disclosure issues and explains how to meet the disclosure standards
The UK’s Financial Services Authority published a paper, which examines the recent growth in investment in commodity markets, concluding that markets have changed significantly, creating…
Late filing disrupts efficiency of regulatory review
Beacon Rock Capital charged, SEC reports
NASAA president reaffirms state investor protection role
Exchange failed to enforce compliance with securities laws
Procedure seen as a second line of defence
Proposed reforms designed to make system more robust and sustainable
Regulator to publish paper on possible rule changes in June