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Keyword: Self-regulatory organizations

295 results found
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CIRO proposes new fee model

Fees to rise for most firms as minimums go up, certain dealers pay higher share

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CIRO seeks stiffer enforcement sanctions

SRO proposes doubling maximum fines, toughening suspensions

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CIRO sketches three-year strategic vision

Expanding access to advice, standardizing KYC data collection on SRO's agenda

a man pushing a giant ball while others push squares

Rep incorporation proposals prove to be sticky wicket

Industry divided on, investor advocates opposed to, reforms

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Fund dealer chief sanctioned for misleading SRO

Terms of firm's sale weren't fully disclosed to regulators

Crypto coins

Coinbase Canada gets CSA registration

Crypto firm to pursue full dealer and ATS registration, plus SRO membership

Review process

CIRO gets clean bill of health from CSA

First oversight review finds SRO complying with recognition order

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Shining more light into Treasury markets

FINRA starts providing data on individual transactions

Court.

Rep fell for fraud scheme, sanctioned by SRO

Panel orders penalties for disgorgment and deterrence

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

FINRA fines firm over finfluencers

SRO brings first case following compliance review targeting firms' use of online influencers