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Keyword: Self-regulatory organizations

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The nominees have experience with senior and vulnerable investors

  • By: IE Staff
  • May 28, 2020 May 28, 2020
  • 12:27
Ellen Bessner video conferencing

How to avoid the most common legal and regulatory infractions

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Dealer firm consents to suspension by industry SRO

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SRO fees are being pushed back for small and mid-size firms, which represent 90% of investment dealers

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Market operations have proven resilient

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Investor group says CSA must go deeper than an IIROC-MFDA merger review

rules and regulations

The SRO is prepared to grant temporary exemptions from several requirements

Stacked white books on rules and regulations

The proposals are out for a 135-day comment period

The derivatives exchange seeks candidates for a special committee

The extension is attributable to the pandemic

  • By: IE Staff
  • March 20, 2020 March 20, 2020
  • 11:06