Revisions aimed at promoting greater transparency
Retire First rep failed to ensure that recommendations were suitable for his client
New resource helps investors understand what certifications mean and how advisors achieve them
SecurOption - Lifetime Retirement Income added to group retirement savings plans
The proposed amendments are designed to ensure that all electronic trading, regardless of channel, has the same level of supervision
Over $1 million collected from Deutsche Bank Securities has been distributed to investors
IIROC panel orders $2.7 million in sanctions
Draft aims to consolidate guidance concerning marketplace disclosure and average price trade disclosure on trade confirmations
SRO members elect new board of directors at annual general meeting
Annual report details cost of lost device and projects an increase in operating expenses