Investment Executive Weekly newsletter

Week of August 06, 2022
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Industry News
Securities industry gears up for shift to T+1
As U.S. industry releases plan, Canadian firms' readiness lags
August 2, 2022

Industry News
TD Bank Group to acquire U.S. investment firm Cowen Inc. for US$1.3 billion
The combined business will operate as TD Cowen, a division of TD Securities
August 2, 2022

From the Regulators
SEC seeks expansion of SRO oversight
Proposal would narrow exemption from FINRA for prop trading firms
July 29, 2022

Industry News
RF Capital posts record revenue in Q2 despite $3.2B drop in AUA
Richardson Wealth added three new advisor teams and lost one during a "challenging" quarter
July 29, 2022

From the Regulators
Regulators approve using MFDA discretionary fund to pay new SRO integration costs
Enforcement penalties will be used to help fund the new SRO
July 28, 2022

Research and Markets
After July rebound, market outlook is still uncertain
Investors got some relief last month but plenty of risks remain
August 2, 2022

Research and Markets
Credit unions benefit from higher rates, but risks loom: report
August 3, 2022

From the Regulators
ASC issues almost $4-million penalty over investor fraud
July 28, 2022


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