Six new individuals elected to board; Harris named chairwoman
Company failed to ensure supervisors were trained on features, risks of leveraged ETFs
In its 2011-2012 annual report, the self-regulatory organization notes that some other fees will decrease
Extension to October 26 delays distribution of settlement funds
SRO may intervene when trades are “unreasonable”
Myatovic and Lowe to face penalty hearing
Draft guidance aims to enhance retail investor protection, and clarify what dealers need to do to meet their regulatory obligations
Firms get more time to respond to Knight Capital trading glitch
RBC DS fined $500,000; Two Montreal brokers each fined $100,000
Dealer allowed unsuitable options trades for two clients