Keyword: Registration

243 results found
gavel on a laptop

Resolution follows finding that Terraform Labs and its founder are liable for securities fraud

gavel

Crypto executive sentenced on federal conspiracy charges

Silhouttes of Two Business People Having a Handshake

SRO says post-pandemic rules facilitate flexible working models

a bright idea

Regulator adopts new exemptions designed to help startups raise capital

Banned

Fund rep could fill out basic information, but not KYC info, on investment dealer accounts

Old and new sign

Fees to rise for most firms as minimums go up, certain dealers pay higher share

Court.

Suit alleges that retail investor trades violated securities law

Bitcoin cyptocurrency

Regulator adopts new charges to cover added costs on overseeing crypto sector

Silhouette of man at sunset

Expanding access to advice, standardizing KYC data collection on SRO's agenda

Judge gavel, scales of justice and law books in court

BCSC returns nearly $40,000 to investors who lost much more