New SRO aims to harmonize requirements for fund dealers and investment dealers
Legislative changes would cut minimum comment period to 60 days
CSA and CIRO seek feedback on the SEC's market structure proposals
New guidance signals larger fines, more misconduct admissions
ESMA calls on crypto industry to prepare for regulation
Regulator's exam division sets compliance priorities for 2024
Advisors becoming more dependent on support from compliance professionals
Federal regulator proposes new guidance to meet its expanded mandate
Banks to bear the brunt of fee increase, as case volumes jump
Regulator adopts new rules to boost transparency around short activity, securities lending