List of single-stock circuit breakers would include all securities that are considered “actively traded”
The regulator is discontinuing its former practice of cancelling or varying certain odd lot trades
Compliance reviews in 2014 to focus on CRM 2 reforms, conflicts of interest and social media usage
Rep failed to conduct proper due diligence of shares held in a client’s account
Changes to trading rules take effect in March
Firm failed to properly supervise advisors and identify accredited investors purchasing private placements
But the proposal to change enforcement rules has its critics
Dealers allowed to use the same disclosure on all trade confirmations
IIROC shares results from third phase of study on high frequency trading
former Edward Jones advisor Harold Hee Jeen Ahn was fined $1 million by IIROC in 2011