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Keyword: Self-regulatory organizations

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Concept of digital investment tools

SRO proposes rule changes, calls for an industry-wide technological solution

Piles of coins

SRO data shows that aggregate industry profits, rep counts rise

Picking a dollar

Stronger than expected revenues enables SRO to return US$50 million to brokers

Old and new sign

On July 1, Quebec joins effort to streamline registration, cut regulatory burden

Big binders

SRO sees jump in complaints, investigations, but proceedings down

Downtown Toronto buildings

Regulator outlines examination priorities for fiscal 2026

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

SRO proposes rule changes that give firms time for appeals to SEC

handing a folded heart from one hand to another

SRO aims to ease compliance, adjust limit to inflation

Court settlement

New firm failed to adequately review trading, client comms, SRO alleged

business man using magnifying glass to inspect documents

Budget boosts penalties, SRO powers, short selling rules