Self-regulatory organization reported year-over-year decline in decisions and sanctions
SRO drops firm sponsorship requirement, among other changes
Consultation highlights industry concerns
U.S. SRO highlights regulatory implications
SRO integration and investor protection also on the agenda
CIRO survey finds investors relying on social media, ranking it as worthy as traditional advice
SRO says post-pandemic rules facilitate flexible working models
Fund rep could fill out basic information, but not KYC info, on investment dealer accounts
Fees to rise for most firms as minimums go up, certain dealers pay higher share
SRO proposes doubling maximum fines, toughening suspensions