In a comment letter on a rule proposed by the Nevada Securities Division creating a state fiduciary standard, SIFMA expressed str...
CN Editor
March 04, 2019
SEC CHARGES FORMER PUBLIC COMPANY OFFICER AND HIS SISTER-IN-LAW WITH INSIDER TRADING
IFIC SUPPORTS CIRO"S ENHANCED COST REPORTING REQUIREMENTS, ASKS FOR CLARIFICATION ON SEVERAL KEY POINTS
CIRO PROPOSES AMENDMENTS RESPECTING MANDATORY CLOSE-OUT REQUIREMENTS
FINRA ORDERS THREE FIRMS TO PAY OVER $8.2 MILLION IN RESTITUTION TO CUSTOMERS
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CIRO SANCTIONS FORMER GRAVITAS SECURITIES INC. REP FROM TORONTO, ON
CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM TORONTO, ON
NEW CIRO MEMBER - NDAX CANADA INC.
CIRO MEMBER CHANGE OF CONTROL: OPTIMIZE WEALTH PARTNERS INC.