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
OSC provides investor advocate with $11 million in funding over six years
Regulators cite concerns about high-pressure sales tactics in bank branches
Hedge fund traded on information about firm's pending block trades
Rep arranged a loan from one client to another to repay a "gang" debt