Self-regulatory organizations | Investment Executive https://www.investmentexecutive.com/tag/self-regulatory-organizations/ Canada's news source for financial professionals Fri, 20 Mar 2026 14:03:02 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.4 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Self-regulatory organizations | Investment Executive https://www.investmentexecutive.com/tag/self-regulatory-organizations/ 32 32 CIRO set to launch disgorgement payout program https://www.investmentexecutive.com/news/ciro-set-to-launch-disgorgement-payout-program/ Fri, 20 Mar 2026 14:03:02 +0000 https://www.investmentexecutive.com/?p=534344 Harmed investors will be able to make claims for share of sanctions, April 1

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]]> Brokers to get US$100-million rebate: FINRA https://www.investmentexecutive.com/news/brokers-to-get-us100-million-rebate-finra/ Thu, 19 Mar 2026 14:29:59 +0000 https://www.investmentexecutive.com/?p=534221 SRO collected excess fees due to strong markets, trading revenue

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]]> FINRA reforms aim to ease burdens https://www.investmentexecutive.com/news/finra-reforms-aim-to-ease-burdens/ Mon, 16 Mar 2026 20:26:54 +0000 https://www.investmentexecutive.com/?p=533928 SRO's proposals seek to enhance regulatory efficiency

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]]> MX adopts new compliance remediation process https://www.investmentexecutive.com/news/mx-adopts-new-compliance-remediation-process/ Mon, 16 Mar 2026 19:27:30 +0000 https://www.investmentexecutive.com/?p=533925 Initiative seeks greater efficiency, transparency for regulatory misdemeanors

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]]> FINRA launches consultation on arbitration https://www.investmentexecutive.com/news/finra-launches-consultation-on-arbitration/ Tue, 03 Mar 2026 14:17:45 +0000 https://www.investmentexecutive.com/?p=532995 Review will consider far-reaching reforms to dispute resolution mechanism

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]]> FINRA raises annual limit on gifts https://www.investmentexecutive.com/news/finra-raises-annual-limit-on-gifts/ Fri, 27 Feb 2026 20:07:20 +0000 https://www.investmentexecutive.com/?p=532867 SRO modernizes rules on industry gifts, codifies guidance, exemptions

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]]> CIRO issues series of guidance updates https://www.investmentexecutive.com/uncategorized/ciro-issues-series-of-guidance-updates/ Tue, 24 Feb 2026 09:00:39 +0000 https://www.investmentexecutive.com/?p=532381 SRO modernizes market regulation guidance

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]]> CIRO calls for boost to independent director limits https://www.investmentexecutive.com/news/ciro-calls-for-boost-to-independent-director-limits/ Thu, 19 Feb 2026 20:58:25 +0000 https://www.investmentexecutive.com/?p=532156 SRO wants to give outside directors more time on the job

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]]> CIRO ready to end dual-dealer model https://www.investmentexecutive.com/news/ciro-ready-to-end-dual-dealer-model/ Thu, 12 Feb 2026 19:00:53 +0000 https://www.investmentexecutive.com/?p=531585 SRO proposes consolidated rulebook, alongside end to dual registration

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]]> FINRA to allow brokers to use return targets https://www.investmentexecutive.com/news/finra-to-allow-brokers-to-use-return-targets/ Wed, 11 Feb 2026 19:30:55 +0000 https://www.investmentexecutive.com/?p=531546 SRO crafts exception from ban on using performance projections

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