The April deadline has been pushed to July
The proposals are out for a 135-day comment period
An IIROC panel found the firm deliberately decided not to comply with position cost reporting requirements
The extension is attributable to the pandemic
Regulators provide 45-day extensions for filings, comment periods
Suitability remains investors’ top complaint, OBSI says
Phone recording requirements are a key concern for home-bound workers
SROs and dealers are activating business continuity plans
The SRO will set up an advisory group that represents the investor perspective
MFDA proposes creation of new, comprehensive SRO for registered firms