Equity research reports failed to disclose accurate information about the relationships with the companies covered
Firm misrepresented subprime data
Enhancements to BrokerCheck will benefit investors
MOU will enhance investigations of cross-border market abuse
Proposed registration requirements would include passing a qualification exam
Agreement aims to improve investor protection by establishing a unified approach to market oversight
RBC Capital Markets fined US$135,000
Increase in complaints prompts reminder to firms
The head of enforcement at the U.S. brokerage industry’s self-regulatory organization announced Thursday that she is stepping down from her post.Susan Merrill, who has headed enforcement at the Financial Industry Regulatory Authority, and before that headed enforcement at New York Stock Exchange Regulation, is to return to private practice. Her departure date has yet to […]
In fact, IIROC’s disciplinary decision rate has typically outpaced FINRA’s over the past five years