Applications due by March 17
Donnelly failed to adequately supervise two reps
Connection between dealer and issuer may result in conflicts of interest
Ex-Research Capital rep to pay $65,000
Dealers required to report detailed client information
Largest penalty slapped on National Bank Financial
Goal is to harmonize the requirements used by the CSA and both SROs
Regulator proposes to raise the program award limit above the current limit of $100,000
Reynolds, Chang fined $70,000 in total
Regulator alleges firm failed to act fairly