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Keyword: Electronic records

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FINRA reforms aim to ease burdens article image Old and new sign

FINRA reforms aim to ease burdens

Cost of TD’s data: between zero and $460 million article image Class action

Cost of TD’s data: between zero and $460 million

Ontario court rejects electronic will article image Class action

Ontario court rejects electronic will

CIRO tackles the dreaded account transfer problem article image Concept of digital investment tools

CIRO tackles the dreaded account transfer problem

Private equity giants hit with SEC texting charges article image Phone text

Private equity giants hit with SEC texting charges

SEC sanctions Robinhood violations article image Gavel and texts

SEC sanctions Robinhood violations

CSA to expand electronic access disclosure model article image Magnifying glass on documents

CSA to expand electronic access disclosure model

TD, RBC sanctioned by U.S. regulators article image rules and regulations

TD, RBC sanctioned by U.S. regulators

SEC sanctions advisory firm for private messaging

CSA adopts electronic access model for company prospectuses article image Disclosure form

CSA adopts electronic access model for company prospectuses