Investment dealers | Investment Executive https://www.investmentexecutive.com/tag/investment-dealers/ Canada's news source for financial professionals Thu, 19 Mar 2026 14:30:05 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.4 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Investment dealers | Investment Executive https://www.investmentexecutive.com/tag/investment-dealers/ 32 32 Brokers to get US$100-million rebate: FINRA https://www.investmentexecutive.com/news/brokers-to-get-us100-million-rebate-finra/ Thu, 19 Mar 2026 14:29:59 +0000 https://www.investmentexecutive.com/?p=534221 SRO collected excess fees due to strong markets, trading revenue

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]]> SEC focuses OTC market rules https://www.investmentexecutive.com/news/sec-focuses-otc-market-rules/ Tue, 17 Mar 2026 19:01:12 +0000 https://www.investmentexecutive.com/?p=534052 Regulator seeks to limit brokers' OTC requirements to equities

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]]> OBSI says it received 60% more inquires in 2025 https://www.investmentexecutive.com/news/obsi-says-it-received-60-more-inquires-in-2025/ Mon, 16 Mar 2026 15:37:04 +0000 https://www.investmentexecutive.com/?p=533844 Investment cases rose 3% to reach an all-time high

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]]> CIRO fines National Bank Financial $1M for inadequate supervision of rep https://www.investmentexecutive.com/news/ciro-fines-national-bank-financial-1m-for-inadequate-supervision-of-rep/ Fri, 13 Mar 2026 20:13:27 +0000 https://www.investmentexecutive.com/?p=533773 SRO says high risk, high volume trades, insufficient notes should have raised red flags

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]]> Former broker charged in ‘free rider’ case https://www.investmentexecutive.com/news/from-the-regulators/former-broker-charged-in-free-rider-case/ Wed, 04 Mar 2026 09:00:23 +0000 https://www.investmentexecutive.com/?p=533092 Rep allegedly exploited credit brokers provide to facilitate new client trading

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]]> Big banks boast strong first quarter: Fitch https://www.investmentexecutive.com/news/big-banks-boast-strong-first-quarter-fitch/ Mon, 02 Mar 2026 19:53:13 +0000 https://www.investmentexecutive.com/?p=532948 Broad-based growth powers gains in revenue, earnings

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]]> Latest OBSI review kicks off https://www.investmentexecutive.com/news/from-the-regulators/latest-obsi-review-kicks-off/ Mon, 02 Mar 2026 09:00:16 +0000 https://www.investmentexecutive.com/?p=532892 New evaluation comes amid regulators' ongoing reform work

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]]> ESMA consults on avoiding groupthink at financials https://www.investmentexecutive.com/news/esma-consults-on-avoiding-groupthink-at-financials/ Wed, 25 Feb 2026 20:36:23 +0000 https://www.investmentexecutive.com/?p=532589 Regulators review suitability guidance for industry management

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]]> Rep’s loan repayment appeal rejected https://www.investmentexecutive.com/news/reps-loan-repayment-appeal-rejected/ Mon, 23 Feb 2026 14:34:40 +0000 https://www.investmentexecutive.com/?p=532260 Court upholds summary judgment in dispute over dealer's loan to rep

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]]> TD Wealth merges two business lines serving HNW clients https://www.investmentexecutive.com/news/td-wealth-merges-two-business-lines-serving-hnw-clients/ Thu, 19 Feb 2026 20:55:55 +0000 https://www.investmentexecutive.com/?p=532111 Advisors will benefit from a consolidated operating model

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