AIMA Canada names new chairman
Joint Forum report details the results of a recent survey of regulators
Alternative trading system raises US$75 million
Joint letter calls on banking regulators to do away with rules causing needless regulatory burden
Man offered shares in his company through Craigslist
OCC issues new guidelines
Guidelines explain methodology, classification categories, and associated volatility for each fund category
Investors were told that funds would be safe because they would be held in a notary trust account
Rep introduced scholarship plan clients to an investment program beyond his registration
Financial institution rating activity was largely positive during the quarter