SRO proposes rule changes, calls for an industry-wide technological solution
Research "showed a statistically significant association" between sales pressure and recommendations not in client interests
Reps' concerns have been documented for years in IE's Report Card research
Clients lost millions on futures trading that generated large commissions
SRO to mimic U.S. regulatory halts for stock-tracking vehicles
Expanded fund reporting requirements to take effect in 2026
Echelon Partners failed to guard against clients' potentially-suspicious trading in U.S. OTC markets
On July 1, Quebec joins effort to streamline registration, cut regulatory burden
SRO sees jump in complaints, investigations, but proceedings down
Reps fined, banned for personal financial dealings with clients