They take effect in September
Not responding will result in a much harsher penalty
The U.S. regulator aims to enhance compliance and cut costs with its new initiative
New system to enhance SRO's ability to detect possible market abuse
The Office of Financial Innovation will lead the SRO's handling of fintech-related issues
Compliance officers still hoping for national regulator, SRO merger
The rep also received a lifetime ban
A proposed rule change would better align the self-regulatory organization's provisions for information with those of OBSI
The SRO said the proposed changes would enhance the independence of its governance committee
Candidates must be officers or employees of a dealer