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Keyword: Self-regulatory organizations

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The new organization is looking at joint oversight that rotates among CSA jurisdictions

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Editorial: Regulatory secrecy prevented public scrutiny of the planned transformation — including concessions made to dealers to earn support for the merger

  • By: IE Staff
  • October 3, 2022 September 30, 2022
  • 09:00
Close up of Business people shaking hands, finishing up meeting, business etiquette, congratulation, merger and acquisition concept

How the new self-regulatory organization will handle fees, advisor incorporation, rule harmonization and more

Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Horizontal, blurred (Business partnership meeting. Picture businessmans handshake. Successful businessmen handshaking after good deal. Ho

Fund dealers, investment dealers approve merger, with new SRO to launch in 2023

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Dealers will vote Sept. 29 on the fate of the IIROC-MFDA merger

Compliance Rules Law Regulation Policy Business Technology concept.

Fees, expenses surging ahead of IIROC-MFDA amalgamation

announcement

Karen McGuinness appointed as president and CEO

  • By: IE Staff
  • September 16, 2022 September 16, 2022
  • 15:58
stock market

SEC proposal to narrow FINRA exemption should benefit brokers

Judge gavel, scales of justice and law books in court

Proposal would narrow exemption from FINRA for prop trading firms

Modern urban skyscrapers in downtown Chicago from below to the blue summer sky. Sun reflecting in the glass facades of the urban futuristic buildings. Chicago, Illinois, USA

Enforcement penalties will be used to help fund the new SRO