MFDA proposes broadening reporting requirements
Electronic reporting of enforcement and compliance related information would benefit members, regulator says
- By: James Langton
- October 27, 2006 October 27, 2006
- 14:10
Latest news in From the Regulators
ASC fines Edmonton man for misrepresentations
Kearl illegally distributed Canglobe shares
- By: IE Staff
- October 27, 2006 October 27, 2006
- 11:15
CSA mulling changes to insider reporting exemptions rule
Regulators propose to delete record-keeping requirements
- By: James Langton
- October 27, 2006 October 27, 2006
- 10:50
New SEDAR manual now available
New version reflects many changes
- By: IE Staff
- October 27, 2006 October 27, 2006
- 10:40
Regulators extend CanPX approval
Applications by other information processors under review
- By: James Langton
- October 27, 2006 October 27, 2006
- 10:15
SEC, NASAA announce continuation of IARD system fee waiver
NASAA to cut system fees paid by investment advisor reps
- By: IE Staff
- October 27, 2006 October 27, 2006
- 10:10
NASD sanctions firm for overcharging on account transfers
McLaughlin, Piven and Vogel Securities agrees to repay customers
- By: James Langton
- October 26, 2006 October 26, 2006
- 15:45
NASAA warns online investors to beware of hack attacks
Investors urged to carefully monitor online trading accounts
- By: James Langton
- October 26, 2006 October 26, 2006
- 15:35
IDA imposes $20,000 fine on Vancouver broker
Kim given six-month suspension
- By: IE Staff
- October 25, 2006 October 25, 2006
- 15:20
NASD fines hedge fund manager US$2.25 million
Fine is largest ever imposed by NASD against an individual for market timing
- By: James Langton
- October 25, 2006 October 25, 2006
- 14:10
GFG cleared to file final application for recognition of egX
Recognition as a securiites exchange called a significant milestone
- By: IE Staff
- October 25, 2006 October 25, 2006
- 10:45
New regime for bundled brokerage making an impact, says UK regulator
Industry practices have begun to change
- By: James Langton
- October 25, 2006 October 25, 2006
- 07:30
OSFI appoints acting assistant superintendent
Hanna to assist Dickson
- By: James Langton
- October 24, 2006 October 24, 2006
- 15:40
Enron’s Skilling jailed for securities fraud
Former CEO sentence to 24 years in prison
- By: IE Staff
- October 23, 2006 October 23, 2006
- 15:40
CSA committed to improving insider trading database
Regulators publish results of SEDI user opinion survey
- By: James Langton
- October 23, 2006 October 23, 2006
- 11:10
Regulators issue update on TREATS project
CSA notice outlines issues requiring further examination
- By: James Langton
- October 20, 2006 October 20, 2006
- 12:50
New Brunswick regulator warns of investor traps
NBSC issues list of common scams
- By: James Langton
- October 20, 2006 October 20, 2006
- 09:55
Court orders former NYSE chief to repay millions in compensation
Grasso accepted pension benefits without disclosure to board of directors
- By: James Langton
- October 20, 2006 October 20, 2006
- 08:10
RS proceedings against Northern adjourned indefinitely
Firm seeks hearing with OSC over UMIR
- By: IE Staff
- October 19, 2006 October 19, 2006
- 13:50
SEC amends tender offer best-price rules
The U.S. Securities and Exchange Commission yesterday gave unanimous final approval to changes to its “best price” rule concerning tender offers. The “best price” rule…
- By: James Langton
- October 19, 2006 October 19, 2006
- 09:20
CSA urges investors to research investments pitched in the media
Investors told not to assume an opportunity is authentic
- By: IE Staff
- October 17, 2006 October 17, 2006
- 13:15
New York settles with Morgan Stanley
Firm to pay more than US$1 million for failing to supervise broker who defrauded 15 clients
- By: IE Staff
- October 17, 2006 October 17, 2006
- 11:30
Dickson named acting chief of OSFI
Search to find new superintendent is underway
- By: James Langton
- October 16, 2006 October 16, 2006
- 13:10
SEC charges 3 former Enron employees with violating securities laws
Lipshutz, former Enron vp, simultaneously settles charges
- By: IE Staff
- October 16, 2006 October 16, 2006
- 07:15
IDA proposes extending use of complex option strategies
No unique reasons to continue restricting the use of the debt offset regulations to member firms
- By: James Langton
- October 13, 2006 October 13, 2006
- 15:45