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Keyword: Self-regulatory organizations

272 results found
Judge looks at papers

CIRO doesn't need an order to use compelled evidence in its own proceedings, regulatory panel says

zoom call

SEC approves SRO rules to facilitate work-from-home supervision

investor protection

Group to focus on investor-advisor relationships, complaints, suitability

Silhouette of man at sunset

Kriegler acknowledges additional burden to advisors resulting from regulatory changes


Panel defers penalties while ex-rep repays clients


SRO executive leaves after nine years at the agency

Quantum computer

SRO examines potential implications of a computing revolution

penalty card

Collections plunge as hefty sanctions are handed out

Groundbreaking securities lawyer, Glorianne Stromberg, dies


New SRO aims to harmonize requirements for fund dealers and investment dealers