NASD board consolidation with NYSE Regulation
By-law changes now go to NASD member firms for approval
- By: James Langton
- December 7, 2006 December 7, 2006
- 11:35
Latest news in From the Regulators
Spam e-mails promoting hot stocks a risky proposition, regulators warn
Microcap stocks may trade on markets with few listing standards
- By: IE Staff
- December 7, 2006 December 7, 2006
- 11:10
SEC to consider recommendation to repropose deregistration rules for foreign private issuers
Deregistration thresholds would be based solely on trading volume
- By: James Langton
- December 7, 2006 December 7, 2006
- 10:10
IDA finds Global Securities broker guilty of failing to act as gatekeeper
Penalty hearing for Toban to be held on Dec. 20
- By: IE Staff
- December 5, 2006 December 5, 2006
- 14:20
SEC files emergency enforcement action to cross-border prime bank scheme
Virginia company solicited investors in B.C. and U.S. Pacific Northwest
- By: IE Staff
- December 5, 2006 December 5, 2006
- 12:15
BCSC fines Kelowna man $100,000
Kuipers sold and exchanged life insurance policies for securities
- By: IE Staff
- December 4, 2006 December 4, 2006
- 15:40
IDA imposes $750,000 fine on Canaccord and co-branch managers
Firm failed to supervise former Vancouver rep
- By: IE Staff
- December 4, 2006 December 4, 2006
- 14:15
NASD fines Jefferies & Co. US$5.5 million for providing improper gifts to Fidelity traders
Former Jefferies trader barred, supervisor suspended and fined
- By: James Langton
- December 4, 2006 December 4, 2006
- 11:55
IDA fines Berkshire reps for concealing advertising costs
Pair fined $25,000 each; suspended for 9 months
- By: IE Staff
- December 4, 2006 December 4, 2006
- 11:10
CSA proposes to place all requirements for forward-looking information in one location
Streamlined approach will simplify and clarify expectations for issuers
- By: James Langton
- December 1, 2006 December 1, 2006
- 15:55
MFDA amends rule concerning calculation of risk adjusted capital
Amendments require members to maintain positive financial statement capital
- By: James Langton
- December 1, 2006 December 1, 2006
- 15:50
NBSC honoured at Canadian Investment Awards
Regulators’s Fostering Capital Markets recognized as Best New Initiative
- By: James Langton
- December 1, 2006 December 1, 2006
- 10:10
MX fines options trader
Abarbanel fined $15,000 for manipulative trading
- By: IE Staff
- November 30, 2006 November 30, 2006
- 15:45
Compliance an integral part of business activities, regulators say
SROs issue joint notice on compliance
- By: James Walker
- November 30, 2006 November 30, 2006
- 13:15
U.S. panel seeks to reduce burden of litigation
Warns of danger in falling behind best practices in shareholder rights
- By: James Langton
- November 30, 2006 November 30, 2006
- 12:55
FSA will not use XBRL
But Britain’s main regulator will continue to monitor the development of the popular reporting language
- By: James Langton
- November 29, 2006 November 29, 2006
- 16:51
U.S. securities regulators to merge
NASAA supports consolidation
- November 29, 2006 November 29, 2006
- 11:28
Ontario Mortgage Brokers Act passes third reading
The Ontario legislature moved improve consumer protection with the successful third reading of the Mortgage Brokerages, Lenders and Administrators Act, 2006.“Obtaining a mortgage to buy…
- By: IE Staff
- November 28, 2006 November 28, 2006
- 15:10
NASD, NYSE unveil plan to consolidate regulation of securities firms
Single organization will eliminate overlapping regulation and reduce costs to industry
- By: James Langton
- November 28, 2006 November 28, 2006
- 10:10
Revisions made to Minimum Continuing Capital and Surplus Requirements for life insurance companies
New accounting standards will be coming into effect after fiscal year-end 2006
- By: James Langton
- November 27, 2006 November 27, 2006
- 17:30
Flaherty proposes modest changes to financial services laws
Proposed legislation will modernize regulations, cut red tape
- By: James Langton
- November 27, 2006 November 27, 2006
- 16:10
Finance minister to join online chat
Flaherty to discuss government’s economic plan
- By: IE Staff
- November 27, 2006 November 27, 2006
- 15:20
Scotiabank opens new Shanghai bank branch
Scotia will celebrate its 25 anniversary in China in May 2007
- By: IE Staff
- November 27, 2006 November 27, 2006
- 13:10
Ontario releases draft of regulations for mortgage brokers
Comments due by Jan. 19, 2007
- By: James Langton
- November 27, 2006 November 27, 2006
- 09:55
Next stage of passport system will enhance market access across Canada, ministers say
Most provinces committed to getting their legislation in place
- By: James Langton
- November 27, 2006 November 27, 2006
- 09:50