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Keyword: Self-regulatory organizations

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Silhouttes of Two Business People Having a Handshake

SRO says post-pandemic rules facilitate flexible working models

Banned

Fund rep could fill out basic information, but not KYC info, on investment dealer accounts

Old and new sign

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

Gavel and Money - Canada stock photo

SRO proposes doubling maximum fines, toughening suspensions

Silhouette of man at sunset

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

a man pushing a giant ball while others push squares

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

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

Crypto coins

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

Review process

First oversight review finds SRO complying with recognition order

Papers with text, treasury bonds on a table, business concept. stock photo

FINRA starts providing data on individual transactions