SRO proposes rule changes that give firms time for appeals to SEC
SRO aims to ease compliance, adjust limit to inflation
New firm failed to adequately review trading, client comms, SRO alleged
Budget boosts penalties, SRO powers, short selling rules
FINRA highlights need to revise rules to match current technology
Effort to gain insight on dealers' clients will seek data from year-end 2026
Actions represented a "serious" conflict of interest, panel says
SRO details its policy priorities for fiscal 2026
Provincial regulator orders case returned to the SRO to be reconsidered
Service has helped recover money for investors, generated enforcement referrals