Latest news in From the Regulators

IDA fines CIBC World Markets trader $10,000

A hearing panel of the Investment Dealers Association of Canada has fined Randal Jerome Hazen, an approved person with the Mississauga, Ont. branch office of…

By: IE Staff
July 24, 2006 July 24, 2006
10:40

NYSE Regulation fines four firms US$1.25 million

NYSE Regulation Inc. announced today that it has censured and fined four firms for violations of new short-selling rules.The regulator reported that it has sanctioned…

By: James Langton
July 24, 2006 July 24, 2006
09:20

CSA seeks comment on proposed “soft dollar” commissions rule

Regulators provide specific framework for the use of client brokerage commissions by advisors

By: James Langton
July 24, 2006 July 24, 2006
07:15

Sask. regulator to delay deposit agent rule

SFSC to review consultant’s report

By: James Langton
July 18, 2006 July 18, 2006
09:45

Nearly half of all complaints received by state securities regulators are made by seniors: study

Investment fraud among seniors could grow significantly, NASAA says

By: James Langton
July 17, 2006 July 17, 2006
15:45

NASD fines three firms US$775,000

Firms ignored warnings from NASD to cease violating analyst disclosure rules

By: James Langton
July 17, 2006 July 17, 2006
12:10

CSA looking for “information processor” firm for bond and equity markets

Regulators invite others to apply to fill role of CanPX

By: James Langton
July 17, 2006 July 17, 2006
07:15

Proposed CSA changes would enhance government bond market transparency

Dealers wold be required to report order information for designated benchmark government bonds to an information processor.

By: James Langton
July 17, 2006 July 17, 2006
07:10

CDS to start enforcing U.S. short-selling rule

Close-out requirements designed to address problems with failures to deliver

By: James Langton
July 14, 2006 July 14, 2006
15:35

Former PFSL salesman receives permanent ban

MFDA fines Ontario man $61,000

By: IE Staff
July 14, 2006 July 14, 2006
12:50

IDA rule book now available for downloading

Rule book will be updated once per month

By: James Langton
July 14, 2006 July 14, 2006
11:50

RS to study failed trades

Regulator proposes to select up to 25 firms to participate

By: James Langton
July 14, 2006 July 14, 2006
10:40

SEC sanctions IFMG Securities

Firm failed to adequately disclose mutual fund and insurance information to customers

By: James Langton
July 13, 2006 July 13, 2006
15:35

NASD warns of Web-site related stock scams

Various investment pitches are referencing “official” Web sites that are fake

By: James Langton
July 11, 2006 July 11, 2006
15:22

SEC releases concept paper on Sarbanes-Oxley 404

The release seeks feedback on key topics and on whether guidance should be provided in other areas

By: James Langton
July 11, 2006 July 11, 2006
14:21

U.S. regulators issue rules for trading futures on debt security index contracts

Future must be broad-based to ensure that securities making up the index are not readily susceptible to manipulation

By: James Langton
July 11, 2006 July 11, 2006
07:40

MFDA mulling over exemptions to “Commigling Prohibition”

Will provide exemptive relief to all level 3 and 4 dealers

By: James Langton
July 11, 2006 July 11, 2006
07:20

NYSE Regulation fines specialist firm US$3.5 million for stock loan violations

NYSE Regulation Inc. announced today that it has censured and fined Van der Moolen Specialists USA LLC US$3.5 million for the misconduct of its stock…

By: James Langton
July 10, 2006 July 10, 2006
09:10

CSA educates investors about risks of principal-protected notes

The Canadian Securities Administrators on Friday issued a notice to investors concerning principal-protected notes (PPNs). The notice spells out some of the features and risks…

By: James Langton
July 10, 2006 July 10, 2006
07:20