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GUIDANCE ON ORDER EXECUTION ONLY ACCOUNT SERVICES AND ACTIVITIES

The Canadian Investment Regulatory Organization (CIRO) is publishing guidance regarding the ability of Investment Dealer Members offering order execution only (OEO) account services (OEO Dealers) to ...

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CIRO
NEW GUIDANCE ON ORDER EXECUTION ONLY ACCOUNT SERVICES AND ACTIVITIES
March 13, 2026

The Canadian Investment Regulatory Organization is replacing Guidance Note 3400-21-003 Guidance on order execution only account s...

TMX
INTRODUCTION OF A REMEDIATION PROCESS AND UPDATE TO THE RULES REGARDING THE CONDUCT OF REGULATORY FUNCTIONS
March 13, 2026

On December 8th, 2025, the Self-Regulatory Oversight Committee of Bourse de Montréal Inc. (the “Bourse”), on recommendation of th...

FINRA
REPORT FROM FINRA BOARD OF GOVERNORS MEETING - MARCH 2026
March 13, 2026

FINRA’s Board of Governors held its first meeting this year on March 4-5. The Board approved five rule proposals, received an upd...

SEC
SEC AND CFTC ANNOUNCE HISTORIC MEMORANDUM OF UNDERSTANDING BETWEEN AGENCIES
March 13, 2026

The Securities and Exchange Commission and the Commodity Futures Trading Commission announced that they have entered into a Memor...

OBSI
OBSI ANNOUNCES TWO NEW BOARD MEMBERS
March 12, 2026

The Board of Directors for the Ombudsman for Banking Services and Investments (OBSI) is pleased to announce two appointments to t...

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