FINRA to accelerate arbitration process for vulnerable clients
"Dot-com" era conflict restrictions no longer needed, regulator agrees
Final consultation on merged dealer rules will get 120-day comment period
Regulator brings first enforcement action against a professional body
MSC finds no error with panel's findings against former fund rep
Project aims to ease trading rule compliance, not alter requirements
SRO crafting model to allow reps to use personal corporations
Regulator rejects the idea of "bespoke" regulation for firms
Large fund dealers, with high rep numbers, to bear brunt of higher annual fee
CIRO issues new guidance on complaint filing requirements