Latest news in From the Regulators

Wall Street firms hit with US$610,000 in penalties

Clients didn’t receive fair price for bonds, NASD says

By: James Langton
June 29, 2004 June 29, 2004
15:57

U.S. securities industry growth slowing: report

Pace has leveled off, SIA says

By: James Langton
June 28, 2004 June 28, 2004
16:24

Broker banned for life

A former broker has been banned permanently from the industry and ordered to pay $167,000 in penalties for misappropriating more than $350,000 from his 90-year-old…

By: IE Staff
June 28, 2004 June 28, 2004
15:49

Nova Scotia dealer admits to stock manipulation

NSSC imposes five-year trading ban, $150,000 in penalties

By: IE Staff
June 28, 2004 June 28, 2004
14:39

OSC committed to single securities regulator

Commission releases statement of priorities for 2004/2005

By: James Langton
June 28, 2004 June 28, 2004
08:45

IDA rule would ensure CNQ securities not eligible for margin

Bourse de Montréal also in the process of passing amendment

By: IE Staff
June 25, 2004 June 25, 2004
13:02

Director pleads guilty

AMF seeks five-year ban against Stevens Demers

By: IE Staff
June 25, 2004 June 25, 2004
12:05

Fed sets sked for 2005

The U.S. Federal Open Market Committee announced its tentative meeting schedule for 2005 today.The Fed’s next scheduled meeting is a two-day affair next week, which…

By: IE Staff
June 25, 2004 June 25, 2004
10:27

OSC upholds Stikeman Elliott ruling

Firm ordered to be removed as counsel to Credit Suisse First Boston

By: IE Staff
June 25, 2004 June 25, 2004
09:52

Issuer correspondence to be made public, SEC says

Aim is to improve transparency

By: IE Staff
June 24, 2004 June 24, 2004
15:48

TD Waterhouse among five brokerages fined by NASD

Firms failed to prevent “late trading” in mutual funds

By: IE Staff
June 24, 2004 June 24, 2004
15:33

No need to for countries to coordinate macroeconomic policies: Dodge

Bank of Canada Governor stresses importance of information sharing

By: James Langton
June 24, 2004 June 24, 2004
11:40

CSA releases draft of Uniform Securities Transfer Act

Comments due July 30

By: IE Staff
June 24, 2004 June 24, 2004
10:42

Ontario unveils plan for single national regulator

Discussion paper has three key elements: one regulator, a common body of securities law and a single fee structure.

By: James Langton
June 24, 2004 June 24, 2004
10:36

Ending selective disclosure hurts small firms: paper

New research suggests that the Securities and Exchange Commission’s efforts to end selective disclosure has had unintended consequences for the market, hurting small firms most.The…

By: James Langton
June 23, 2004 June 23, 2004
15:28

NSSC investigates broker

Helped group of corporate insiders prop up their firm's stock, commission says

By: IE Staff
June 23, 2004 June 23, 2004
15:03

OSC’s private placement investigation continues

Another settlement reached with a fund manager

By: James Langton
June 23, 2004 June 23, 2004
13:58

Ratings of Caisse and CDP Financial confirmed at AAA

DBRS cites improved performance, stronger markets

By: IE Staff
June 23, 2004 June 23, 2004
13:09

Fangeat settlement approved

Veteran insurance agent, fund salesman banned for 20 years

By: IE Staff
June 22, 2004 June 22, 2004
15:22

BCSC publishes rules for new securities act

The B.C. Securities Commission on Tuesday published for comment rules that would implement many of the provisions of its new regulatory model.In May, the province…

By: IE Staff
June 22, 2004 June 22, 2004
13:35