Self-regulatory organizations | Investment Executive https://www.investmentexecutive.com/tag/self-regulatory-organizations/ Canada's news source for financial professionals Wed, 08 Apr 2026 21:05:03 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 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 seeks to tackle persistent policy challenges https://www.investmentexecutive.com/news/ciro-seeks-to-tackle-persistent-policy-challenges/ Wed, 08 Apr 2026 21:05:03 +0000 https://www.investmentexecutive.com/?p=535816 SRO sets out regulatory agenda for year ahead

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]]> CIRO proposes short-selling reforms https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-short-selling-reforms/ Thu, 02 Apr 2026 20:53:04 +0000 https://www.investmentexecutive.com/?p=535513 SRO drops mandatory close-out proposal, adds new conduct-based approach

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]]> Financial services now part of Canadian Free Trade Agreement https://www.investmentexecutive.com/news/industry-news/financial-services-now-part-of-canadian-free-trade-agreement/ Thu, 02 Apr 2026 20:28:57 +0000 https://www.investmentexecutive.com/?p=535487 "I’m very bullish" on potential outcomes, says interprovincial trade expert

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]]> CIRO wraps guidance update project https://www.investmentexecutive.com/news/ciro-wraps-guidance-update-project/ Fri, 27 Mar 2026 20:28:30 +0000 https://www.investmentexecutive.com/?p=535103 SRO issues revisions to gatekeeper, trading supervision obligations

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]]> Short-selling dealers stay secret https://www.investmentexecutive.com/news/short-selling-dealers-stay-secret/ Fri, 27 Mar 2026 20:20:08 +0000 https://www.investmentexecutive.com/?p=534995 IPC upholds OSC decision to preserve privacy of dealers in failed trade study

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]]> 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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