Advisor sanctioned for extensive discretionary futures trading
SRO would allow discount brokers to boost communication with investors
Over $3 million in capital was raised from clients to fund firm's growth
SRO meeting terms of recognition order, three issues flagged by regulators
SRO publishes syllabi, practice exams, ahead of shift to new proficiency model
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