James Langton

Regulation

FINRA, SEC issue investor alert on securities-backed lines of credit

December 21, 2015 James Langton
Regulation

IIROC guides help dealers boost cybersecurity preparedness

December 21, 2015 James Langton
Industry

Overall retirement savings boosted by workplace pensions: study

December 21, 2015 James Langton
Regulation

IIROC suspends Jacob Securities

December 18, 2015 James Langton
Regulation

Report outlines best practices regarding seniors and DSC mutual funds

December 18, 2015 James Langton
Regulation

MFDA mulls expanded CRM2 disclosure

December 18, 2015 James Langton
Regulation

J.P. Morgan to pay US$267 million for disclosure failures: SEC

December 18, 2015 James Langton
Regulation

FINRA fines Fidelity Brokerage Services US$1 million for supervisory failures

December 18, 2015 James Langton
Product

Excel Funds to merge BRIC fund into emerging-markets fund

December 18, 2015 James Langton
Regulation

Global banking regulators issue guidance on loan losses

December 18, 2015 James Langton
People

Former Philly Fed governor named to FINRA board

December 18, 2015 James Langton
Regulation

NASAA launches seniors-focused website

December 17, 2015 James Langton