Keyword: Self-regulatory organizations

289 results found
Air raid sirens

SRO renews Maureen Jensen's board term for three years

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CIRO proposes to focus on exams instead

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Gravitas Securities suspended after repeated shortfalls, failure to file financials

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Group rejects proposed fee exemptions for self-regulatory organization and calls for greater advisor proficiency

  • By: IE Staff
  • June 6, 2023 June 7, 2023
  • 16:13
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Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work

Fines graphic

SRO ordered US$48.1 million in monetary penslties in 2022

Stacked white books on rules and regulations

Commission structures, account transfer standards and dual registration are all in the works

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IFIC’s busy agenda includes total cost reporting, new SRO, research and more

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

SRO expels brokerage over widespread regulatory violations

Entrance to Financial Services Regulatory Authority of Ontario

Some fees reduced to reflect existing OSC oversight of new SRO