Dealers will vote Sept. 29 on the fate of the IIROC-MFDA merger
Disregarding signs of suspicious trading amounts to failed gatekeeper responsibilities, settlement says
Fees, expenses surging ahead of IIROC-MFDA amalgamation
SRO aims to finalize competency standards by early 2024
The Court of Appeal for British Columbia found that the judge did not err in 2019 ruling
SRO provides guidance on short covering expectations
Enforcement penalties will be used to help fund the new SRO
Software updates caused various issues undermining market oversight
An IIROC hearing panel also permanently banned the former Toronto-area rep
SRO committees focus on market regulation, fixed-income trading issues