New compliance targets have emerged from the SRO's data analysis efforts
Mutual fund dealers would like to join the ETF world, but hurdles abound
Allegations include improper personal financial dealings and misleading investigators
The former fund rep failed to co-operate in an MFDA investigation into falsified loan applications
Amendments include changes to suitability, know-your-client, conflict of interest and disclosure provisions
Talk of merging the SROs has surfaced repeatedly over the years
The panel said the penalty proposed in the case is "necessary and sufficient" to serve as a deterrent
The former rep borrowed more than $100,000 from clients
The MFDA's auditors and directors were also approved at the meeting
The former rep was being investigated for allegedly liquidating his father's investment accounts