Regulator issued temporary freeze as it investigated alleged Ponzi scheme
Michael Chodorowski ordered to pay $1.6 million in restitution
Symmetry was unaware of its obligation to file exempt distribution reports
Regulator proposes to revoke exemption which allow firms to trade in the exempt market with registering
Regulator alleges Doris Nelson used Little Loan Shoppe to perpetrate a multimillion dollar fraud, and made false statements to the commission
Regulator orders three men, Independent Academies and Micron to cease trading
While Ontario contemplates whether to expand prospectus exemptions, British Columbia is proposing to scrap one of its more contentious exempt- market provisions. The B.C. Securities Commission is proposing to revoke its so-called “Northwest” exemption, which allows firms to trade in the exempt market without registering. The controversial exemption was adopted by a handful of regulators […]
JV Raleigh directors banned, fined for selling securities without being registered
Lack of compliance leads regulator to propose scraping of EMD registration exemption
Ho, Downes and Glover join board