Four brokers charged in “squawk box” case
Day trader paid brokers for live access to brokerage firms’ internal communications systems
- By: James Langton
- August 15, 2005 August 15, 2005
- 11:35
Latest news in From the Regulators
NYSE Regulation fines Merrill Lynch US$10 million
Brokerage firm failed to deliver customer prospectuses
- By: James Langton
- August 15, 2005 August 15, 2005
- 10:35
IDA fines IPC Securities $100,000
Firm failed to comply with IDA by-laws
- By: IE Staff
- August 15, 2005 August 15, 2005
- 07:40
IDA fines former Dundee branch manager $50,000
Bassett banned for failing to co-operate with investigation
- By: IE Staff
- August 12, 2005 August 12, 2005
- 14:50
OSC proposes changes to its fee schedules
Comments due by November 10
- By: IE Staff
- August 12, 2005 August 12, 2005
- 10:20
IDA expels Calgary broker
Stewart previously fined for unauthorized trading
- By: IE Staff
- August 11, 2005 August 11, 2005
- 15:54
ASC reports small first quarter loss
Says revenue was significantly higher than forecast
- By: James Langton
- August 11, 2005 August 11, 2005
- 14:55
Former Citigroup executives facing fraud charges
SEC files civil complaint over transfer agent profit
- By: James Langton
- August 9, 2005 August 9, 2005
- 10:10
IDA fines Saskatchewan rep $20,000
Broker failed to learn details of debentures he recommended to clients
- By: IE Staff
- August 8, 2005 August 8, 2005
- 14:50
OSC extends temporary orders against Momentas
Employees sold securities without being registered
- By: IE Staff
- August 8, 2005 August 8, 2005
- 10:15
SEC is the investor’s advocate, new chairman says
Individual investors in need of protection, Cox says
- By: James Langton
- August 5, 2005 August 5, 2005
- 14:55
OSC outlines timelines for implementing secondary market disclosure legislation
Amendments to come into force on December 31
- By: James Langton
- August 5, 2005 August 5, 2005
- 14:45
IDA imposes $40,000 fine and two-year ban on B.C. man
Broker compensated clients for the default of Argentina bonds
- By: IE Staff
- August 5, 2005 August 5, 2005
- 13:45
Cox sworn in as SEC chairman
SIA congratulates chief regulator
- By: James Langton
- August 3, 2005 August 3, 2005
- 15:55
Morgan Stanley fined US$1.5 million for failing to supervise fee-based brokerage program
Clients to receive US$4.6 million in restitution
- By: James Langton
- August 2, 2005 August 2, 2005
- 15:30
Ontario improves investor protection
Legislation proclaimed implementing civil liability for secondary market disclosure
- By: IE Staff
- August 2, 2005 August 2, 2005
- 14:55
SEC looking to enhance regulatory environment for smaller public companies
Regulator seeking comments from companies and investors
- By: James Langton
- August 2, 2005 August 2, 2005
- 13:15
NASAA issues warning on phantom “regulators”
Fake regulators based in U.S. targeting overseas investors
- By: James Langton
- July 29, 2005 July 29, 2005
- 14:55
FSCO issues cease and desist issued against Braganza
Ontario man not registered to sell “deposits”
- By: IE Staff
- July 29, 2005 July 29, 2005
- 14:35
RS reports progress on strategic review of trading rules
Final set of strategic principles to be unveiled this fall
- By: James Langton
- July 29, 2005 July 29, 2005
- 13:10
CSA postpones implementation of internal control reporting requirements
Regulators need time to assess developments in U.S.
- By: James Langton
- July 29, 2005 July 29, 2005
- 10:20
RBC DS traders fined $312,000 for wash trading
Four tried to correct a market on close order error by another firm
- By: IE Staff
- July 28, 2005 July 28, 2005
- 13:40
UK regulator proposes point-of-sale disclosure document
Goal is to help consumers make informed decisions about investment products
- By: James Langton
- July 28, 2005 July 28, 2005
- 09:10
SEC approves NYSE disclosure rule
Firms required to provide information on non-managed fee-based accounts
- By: IE Staff
- July 27, 2005 July 27, 2005
- 14:30