MFDA membership rule awaits ministerial approval
Revised rule gives dealers 75 days to apply for membership
- By: IE Staff
- October 13, 2000 October 13, 2000
- 14:18
Latest news in From the Regulators
SEC moves ahead with full disclosure rules
Regulation FD to take effect October 23
- By: IE Staff
- October 12, 2000 October 12, 2000
- 15:27
SEC files charges in multimillion dollar pension fraud
Alleges former Connecticut treasurer orchestrated kickback scheme
- By: IE Staff
- October 11, 2000 October 11, 2000
- 15:34
ASC offers filing relief to former VSE, CDN, TSE issuers
Relief in effect until June 30, 2001
- By: IE Staff
- October 4, 2000 October 4, 2000
- 14:40
OSC issues Internet
Messages promoting U.S. Bulletin Board stocks sent to @home subscribers
- By: IE Staff
- September 29, 2000 September 29, 2000
- 13:49
SEC cracks down on accounting abuses
Actions underscore "zero tolerance" toward financial fraud
- By: IE Staff
- September 28, 2000 September 28, 2000
- 07:54
CICA weighs in on auditor independence
New guidelines mandate discussions with audit committees
- By: IE Staff
- September 26, 2000 September 26, 2000
- 14:15
Industry petitions SEC to delay implementation of fair disclosure rule
Regulation FD scheduled to take effect October 23
- By: IE Staff
- September 26, 2000 September 26, 2000
- 11:25
SEC lays charges in massive fraud at Franklin American Corp.
Frankel, Hackney facing permanent injunctions and civil penalties
- By: IE Staff
- September 25, 2000 September 25, 2000
- 15:44
Court decision sheds light on non-competion clauses
Ontario Court of Appeal finds clause too restrictive
- By: IE Staff
- September 21, 2000 September 21, 2000
- 17:17
SEC charges minor in online stock scam
New Jersey boy used Internet to tout stocks
- By: IE Staff
- September 20, 2000 September 20, 2000
- 16:52
NASAA adopts new vision statement
Seeks to increase uniformity of cross-border regulation
- By: IE Staff
- September 20, 2000 September 20, 2000
- 10:42
CDNX applies for exemption from OSC regulation
ASC, BCSC to undertake minimum standard of supervision
- By: IE Staff
- September 19, 2000 September 19, 2000
- 17:13
SEC charges B.C. resident with manipulating OTC stocks
BCSC freezes bank and brokerage accounts
- By: IE Staff
- September 18, 2000 September 18, 2000
- 15:16
OSC Web site sheds light on proposed MFDA rules
Answers to common questions now available online
- By: IE Staff
- September 12, 2000 September 12, 2000
- 13:36
Ontario initiates OSC, FSCO merger talks
Comments on merger proposal due October 2<br>
- By: IE Staff
- September 11, 2000 September 11, 2000
- 10:52
NASAA general counsel resigns
O'Brien to join consulting firm
- By: IE Staff
- September 8, 2000 September 8, 2000
- 11:05
SEC cracks down on Internet fraud
Sweep nets perpetrators with Canadian connections
- By: IE Staff
- September 6, 2000 September 6, 2000
- 17:22
OSFI launches improved Web site
Site improves access to regulatory information
- By: IE Staff
- September 6, 2000 September 6, 2000
- 16:16
Noram Capital president hit with 10-year prohibition
BCSC bars Willman from acting as director, officer
- By: IE Staff
- September 6, 2000 September 6, 2000
- 16:07
IFIC releases guidelines for correcting portfolio NAV errors
Adopts thresholds of 50 bps, $50
- By: IE Staff
- September 6, 2000 September 6, 2000
- 14:28
SEC releases agenda for auditor independence hearings
OSC chairman Brown to appear
- By: IE Staff
- September 6, 2000 September 6, 2000
- 08:45
OSC begins case against Philip Services Corp.
Alleges full disclosure not given in prospectus
- By: IE Staff
- August 30, 2000 August 30, 2000
- 13:40
BC Securities Commission clamps down on sale of syndicated mortgages
Prospectus or offering memorandum will be required
- By: IE Staff
- August 30, 2000 August 30, 2000
- 13:32
IDA imposes $10,000 fine on former Midland rep
Parke disciplined for unauthorized trading
- By: IE Staff
- August 17, 2000 August 17, 2000
- 11:30