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CIRO MEMBER AMALGAMATION - STONEX FINANCIAL (CANADA) INC. & R.J. O"BRIEN & ASSOCIATES CANADA INC.

The Canadian Investment Regulatory Organization has approved the amalgamation of CIRO member StoneX Financial (Canada) Inc., an Investment Dealer, and R. J. O’Brien & Associates Canada Inc., an Inves...

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CIRO
CIRO MEMBER AMALGAMATION - IPC INVESTMENT CORPORATION & QUADRUS INVESTMENT SERVICES LTD.
October 07, 2026

The Canadian Investment Regulatory Organization has approved the amalgamation of CIRO member IPC Investment Corporation, a Mutual...

CSA
CSA ENCOURAGES INFORMED INVESTING AND FRAUD PREVENTION DURING INVESTOR EDUCATION MONTH
October 07, 2026

As Canadians increasingly encounter investment information and opportunities online, the Canadian Securities Administrators (CSA)...

ASC
ASC FINDS THAT TERRANCE ANTHONY SWEENEY BREACHED ALBERTA SECURITIES LAWS
October 07, 2026

An Alberta Securities Commission (ASC) panel has found that Terrance Anthony Sweeney breached Alberta securities laws by perpetra...

FINRA
FINRA FINES REVERE SECURITIES $800,000 FOR SMALL-CAP IPO-RELATED AML AND SUPERVISORY FAILURES
October 07, 2026

FINRA has fined Revere Securities LLC $800,000 for anti-money laundering (AML) and supervisory violations related to small-cap in...

SEC
SEC TO HOST VIRTUAL NATIONAL COMPLIANCE OUTREACH SEMINAR FOR INVESTMENT COMPANIES AND INVESTMENT ADVISERS
October 07, 2026

The Securities and Exchange Commission’s Compliance Outreach Program announced that it will host a virtual national seminar for i...

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