Draft is a response to rule changes resulting from registration reform
The Ontario regulator has suspended the registration of Blueport Capital and John Hare
Delcourt and Stewart conducted their business as portfolio managers without proper registration
Initiative provides investment advisors registering in multiple states with an easier way to navigate the switch to state registration
Alexander Adams made an “honest mistake” on his application
Several rules get substantive revisions in addition to plain language rewrite
Regulators say they need more time to study the issue
Some amendments put on hold
Why aren’t more exempt-market general partners obtaining registration?
Investors warned not to purchase securities from firm