Home Self-regulatory organizations

Keyword: Self-regulatory organizations

175 results found
change direction

Reporting changes will be rolled into a bigger project on complaints, investigations

Female tax inspector looking at corporate financial documents with magnifying glass

The OSC advisory group is facing a long list of investor issues

business woman esg

Investor advisory panel would provide feedback on regulatory policy issues and initiatives

Diverse usiness people walking toward camera

FINRA said it wants feedback on how its regulations and processes affect industry inclusion

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

The SRO argues a hearing panel erred by failing to impose a fine against a rep who misappropriated a client's money

businessman race hurdle competition

Regulatory staff are expected to deliver recommendations to CSA chairs in the coming weeks

confused man

A clear delineation of responsibilities would allow for an effective relationship


The SRO has adopted an early settlement program but scrapped its plan for punishing minor violations

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

A forum of industry associations hopes a consolidated SRO will create a more level playing field while strengthening investor protection

female advisor with laptop

FINRA has observed a sharp increase in "instant funds" scams in the past two months