Expanding access to advice, standardizing KYC data collection on SRO's agenda
Firm failed to adequately oversee rep's risky trading strategy, CIRO says
Financial sector funds now out of bounds for regulator's employees
Proposals aim to codify investor protections, enhance flexibility
European regulators flag threats to investors from industry, influencers
Self-regulatory organization proposes new settlement obligation and expanded guidance
New research finds that brokers leak info on smart shorts into the market
Lack of consensus on possible reforms sends regulators back to study the issues
Regulator adopts new rules to boost transparency around short activity, securities lending
SRO renews Maureen Jensen's board term for three years