Earlier decision requiring clearing broker to produce records overturned
Effort to elevate financial compensation in criminal cases falls flat
SRO proposes mandatory close-out requirements that aim to prevent failed trades, align with U.S. regime
SRO sets out common requirements, contemplates shift to annual CE cycle
Proposed reforms would harmonize requirements for inter-listed securities
Rep circumvented registration limits to trade wider range of securities
A second former Stifel Nicolaus trader settles with SRO
Rep admitted to misappropriating money from investment and insurance clients
Proposals aim to boost investor protection around proprietary fund sales
Rep had clients invest in, failed to disclose, his side hustles