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Keyword: Self-regulatory organizations

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

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

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

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

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

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

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A clear delineation of responsibilities would allow for an effective relationship

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

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

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