The SRO argues a hearing panel erred by failing to impose a fine against a rep who misappropriated a client's money
Regulatory staff are expected to deliver recommendations to CSA chairs in the coming weeks
A clear delineation of responsibilities would allow for an effective relationship
The SRO has adopted an early settlement program but scrapped its plan for punishing minor violations
A forum of industry associations hopes a consolidated SRO will create a more level playing field while strengthening investor protection
FINRA has observed a sharp increase in "instant funds" scams in the past two months
IIROC outlined the challenges for firms and regulators in a new report
There is no evidence that video hearings are unfair, regulator rules
The association delivered its proposed roadmap to inform a CSA decision due this summer
SRO adopts rule changes to enhance investor protection