Regulatory reform | Investment Executive https://www.investmentexecutive.com/tag/regulatory-reform/ Canada's news source for financial professionals Mon, 13 Apr 2026 18:17:05 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Regulatory reform | Investment Executive https://www.investmentexecutive.com/tag/regulatory-reform/ 32 32 U.S. payment for order flow at record levels: Moody’s https://www.investmentexecutive.com/news/u-s-payment-for-order-flow-at-record-levels-moodys/ Mon, 13 Apr 2026 18:17:05 +0000 https://www.investmentexecutive.com/?p=536174 Activity concentrated in handful of brokers, trading venues

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]]> Issuers start moving to semi-annual reporting https://www.investmentexecutive.com/news/issuers-start-moving-to-semi-annual-reporting/ Thu, 09 Apr 2026 21:11:22 +0000 https://www.investmentexecutive.com/?p=535961 Venture companies begin opting for less frequent reporting

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]]> Insider rules apply to single-stock vehicles: CSA https://www.investmentexecutive.com/news/insider-rules-apply-to-single-stock-vehicles-csa/ Thu, 09 Apr 2026 21:06:44 +0000 https://www.investmentexecutive.com/?p=535929 Proposal to clarify that reporting rules apply to unitary ETFs, CDRs, notes

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]]> SEC names new enforcement chief https://www.investmentexecutive.com/news/sec-names-new-enforcement-chief/ Thu, 09 Apr 2026 14:31:22 +0000 https://www.investmentexecutive.com/?p=535875 Former SEC attorney, accountant to lead agency's enforcement shift

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]]> CIRO seeks to tackle persistent policy challenges https://www.investmentexecutive.com/news/ciro-seeks-to-tackle-persistent-policy-challenges/ Wed, 08 Apr 2026 21:05:03 +0000 https://www.investmentexecutive.com/?p=535816 SRO sets out regulatory agenda for year ahead

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]]> SEC enforcement drop is a feature, not a bug https://www.investmentexecutive.com/news/sec-enforcement-drop-is-a-feature-not-a-bug/ Wed, 08 Apr 2026 21:04:11 +0000 https://www.investmentexecutive.com/?p=535832 Agency details fundamental shift in approach to regulatory enforcement

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]]> CIRO proposes short-selling reforms https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-short-selling-reforms/ Thu, 02 Apr 2026 20:53:04 +0000 https://www.investmentexecutive.com/?p=535513 SRO drops mandatory close-out proposal, adds new conduct-based approach

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]]> OSC proposal looks at automating compliance, cutting costs https://www.investmentexecutive.com/news/osc-proposal-looks-at-automating-compliance-cutting-costs/ Mon, 30 Mar 2026 18:19:36 +0000 https://www.investmentexecutive.com/?p=535153 Regulator consults on approach to building machine-readable rules

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]]> CIRO wraps guidance update project https://www.investmentexecutive.com/news/ciro-wraps-guidance-update-project/ Fri, 27 Mar 2026 20:28:30 +0000 https://www.investmentexecutive.com/?p=535103 SRO issues revisions to gatekeeper, trading supervision obligations

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]]> Short-selling dealers stay secret https://www.investmentexecutive.com/news/short-selling-dealers-stay-secret/ Fri, 27 Mar 2026 20:20:08 +0000 https://www.investmentexecutive.com/?p=534995 IPC upholds OSC decision to preserve privacy of dealers in failed trade study

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