The Investment Dealers Association is proposing a rule change that would facilitate straight-through processing for trades between IDA membersThis is to be accomplished by mandating…
MFDA publishes comments about proposal to require firms to notify MFDA about termination of reps
S&P says positive trends in 2003 should continue
CSA report reviews 40 income trust issuers
Also pondering ban on soft-dollar commissions
The U.S. Securities and Exchange Commission and the National Association of Securities Dealers are sanctioning 15 of the worst offenders for failing to deliver millions…
Higher taxes will make province less competitive
Would bring them more in line with U.S., European practices
The Mutual Fund Dealers Association has released a list of the common deficiencies it found during on-site examinations of members. As well, the regulator says…
No systemic abuses uncovered so far, regulator says
Panel finds "breach of loyalty" to RS
GeneMax lawsuit to proceed
Issues bar against Kerr
Altura agrees to pay $20,000
Says rules intended to protect client information
Greater provincial cooperation needed says McGuinty
FFC, Freisner hit with permanent cease-trade orders
SEC, Spitzer lay "late-trading" charges
Rule changes now in effect
Regulator approves public access to hearings
Regulator aims to hire 106 new employees
Promises overhaul of student loan program
The Ontario Securities Commission has issued its’ reasons for denying continued registration to a fund dealer that has not yet been accepted into the Mutual…
New agency has $60 million annual budget
Amendments intended to reduce compliance costs