How to avoid the most common legal and regulatory infractions
Dealer firm consents to suspension by industry SRO
SRO fees are being pushed back for small and mid-size firms, which represent 90% of investment dealers
Market operations have proven resilient
Investor group says CSA must go deeper than an IIROC-MFDA merger review
The SRO is prepared to grant temporary exemptions from several requirements
The proposals are out for a 135-day comment period
The derivatives exchange seeks candidates for a special committee
The extension is attributable to the pandemic
Phone recording requirements are a key concern for home-bound workers