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CIRO RELEASES 2026 ANNUAL REPORT, MARKS MAJOR REGULATORY MILESTONES AND LOOKS AHEAD TO ITS NEXT CHAPTER

The Canadian Investment Regulatory Organization (CIRO) released its 2026 Annual Report covering the organization"s activities from April 1, 2025 to March 31, 2026, and its financial position at fisca...

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SIFMA
SIFMA SUBMITS COMMENT LETTER ON SEC E-DELIVERY RULE PROPOSAL
September 22, 2026

SIFMA and SIFMA Asset Management Group (SIFMA AMG) submitted comments to the Securities and Exchange Commission (SEC) on a propos...

Investment Executive
ECB EMBRACES TOKENIZED SECURITIES
September 22, 2026

In a step toward the development of tokenized securities markets, the European Central Bank (ECB) is preparing to invest in the e...

Investment Executive
VC FIRMS" EMPLOYEE TOOK INVESTORS" FUNDS: SEC
September 22, 2026

A former executive assistant at a couple of venture capital firms has been charged with fraud in connection with an alleged schem...

Investment Executive
U.S. ADVISOR PLEADS GUILTY TO CHERRY PICKING
September 21, 2026

A former investment advisor admitted to defrauding his clients by “cherry picking” profitable trades for his own accounts, while ...

Investment Executive
REP THAT RAN 25-YEAR PONZI SCHEME HEADING TO JAIL
September 21, 2026

A former U.S. financial advisor is going to jail for defrauding investors in a long-running Ponzi scheme. In 2024, a former rep, ...

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