“We can’t answer the questions that clients are asking,” dealer says
SRO proposes consolidated rulebook, alongside end to dual registration
SRO crafts exception from ban on using performance projections
Claims involve alleged misrepresentations by cannabis firm, underwriters
Client assets hit record levels, boosting revenue, earnings growth: Fitch
Rivals ramping up competition, but U.S. firms have inherent advantages
Awareness of transition is growing, but funding needs to follow: report
Dealers, advisors brace for July 1 implementation deadline
Regulator calls for greater clarity from industry on ESG strategies
Bourse plans market maker program for certain CORRA futures