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FINCEN ANNOUNCES WITHDRAWAL OF PROPOSED RULE RELATED TO RECORDKEEPING AND TRAVEL RULE OBLIGATIONS

The Financial Crimes Enforcement Network (FinCEN) is withdrawing a notice of proposed rulemaking that would have amended the Recordkeeping and Travel Rule regarding convertible virtual currencies. It...

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Investment Executive
EX-IG EXEC SHOULD HAVE TAKEN THE DEAL: COURT
November 09, 2026

A former industry executive who lost a wrongful dismissal suit against Investors Group Financial Services Inc. (IG) is now on the...

CIRO
CIRO ALLEGES MISAPPROPRIATION BY FORMER QUADRUS INVESTMENT SERVICES REP FROM TORONTO, ON
November 06, 2026

CIRO has scheduled a disciplinary hearing for Michael Jordan MacDonnell (MacDonnell), a former Registered Dealing Representative ...

ASC
FORMER INVESTMENT BANK EMPLOYEE AND HIS MOTHER PAY $330,000 IN INSIDER TRADING SETTLEMENT
November 06, 2026

The Alberta Securities Commission (ASC) has concluded a Settlement Agreement and Undertaking with Calgary residents Dean Labbe an...

FINRA
FINRA FINES WEBULL $4.2 MILLION FOR ANTI-MONEY LAUNDERING AND BEST EXECUTION VIOLATIONS
November 06, 2026

FINRA has fined Webull Financial LLC $4.2 million for failing to implement reasonably designed programs for anti-money laundering...

Investment Executive
FINRA SEEKS CIRCUIT BREAKER CHANGE
November 06, 2026

As regulators prepare for trading venues to adopt extended hours, the Financial Industry Regulatory Authority, Inc. (FINRA) is pr...

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