SRO modernizes market regulation guidance
SRO wants to give outside directors more time on the job
Panel issues fines, disgorgement, along with suspensions
Investor, former registrant allege regulator was negligent in protecting personal data
SRO proposes consolidated rulebook, alongside end to dual registration
Rep sanctioned in CIRO settlement, despite lack of harm
New $300 fee per rep set to take effect April 1
Fake bank accounts used to divert funds from clients that were elderly, dead
SRO failed to prove certain allegations, investor harm
Regulatory action deals with subset of $1.8 million misappropriation