Industry, investors have until Sept. 29 to provide feedback on reforms to give body binding powers
Regulators set out proposed approach to oversight, external reviews
SRO proposes rule changes, calls for an industry-wide technological solution
Binding authority for investor dispute resolution body OBSI should be priority, investor advocacy group says
Regulator examines use of discretion in ratings, following OBSI alert
Reforms would extend program to fund dealers, expand monetary limits, fund certain costs
Self-regulatory organization consults on proposed disgorgement distribution policy
Fraud claims pass suitability issues among investment cases
Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more
With reforms pending, the organization will search for new consumer, industry board reps