Regulator adopts new rules to boost transparency around short activity, securities lending
Clients' assets misappropriated rather than invested, U.S. authorities charged
New rule sharply narrows prop traders' SRO exemption
Long-time SRO employee tapped to head division
SRO renews Maureen Jensen's board term for three years
FINRA expels firm; SEC, DoJ charge broker for exploiting vulnerable investors
U.S. SRO aims to enable more efficient oversight as reps continue to work from home
SRO ordered US$48.1 million in monetary penslties in 2022
Small, straightforward tech solutions can have big payoffs, OSC TestLab finds
SRO expels brokerage over widespread regulatory violations