Stronger than expected revenues enables SRO to return US$50 million to brokers
On July 1, Quebec joins effort to streamline registration, cut regulatory burden
SRO sees jump in complaints, investigations, but proceedings down
Regulator outlines examination priorities for fiscal 2026
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