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
Expanded fund reporting requirements to take effect in 2026
Echelon Partners failed to guard against clients' potentially-suspicious trading in U.S. OTC markets