Time to think bigger on SRO reform?
Deadlines to implement the client-focused reforms were extended, and dealers are working out how to comply with the new requirements
Flight to safety, spike in cash needs drove liquidity crunch in certain funds
Proposed exemption would allow non-accredited investors to self-certify their sophistication
Efforts to build systemic resilience largely worked during pandemic, FSB says
SRO to host online event Nov. 27, second session on Dec. 17
FSB aims to curb transition risks with industry roadmap
The organization is recognizing the education and skills that CFAs already possess
Industry group says added provincial rules not needed
Regulators seek whistleblower tips on short selling ahead of new offerings