FINRA has sent out an Election Notice to notify members of an upcoming election to fill one large firm and one mid-size firm seat...
CN Editor
August 21, 2019
FINRA ORDERS THREE FIRMS TO PAY OVER $8.2 MILLION IN RESTITUTION TO CUSTOMERS
FINRA BOARD APPOINTS PUBLIC GOVERNOR AND DISCUSSES BUDGET, RULES REGARDING OUTSIDE BUSINESS ACTIVITIES AND PRIVATE SECURITIES TRANSACTIONS, AND 2025 REGULATORY OVERSIGHT REPORT
IOSCO PUBLISHES FINAL REPORT ON REGULATORY IMPLICATIONS AND GOOD PRACTICES ON THE EVOLUTION OF MARKET STRUCTURES
FINRA POISED TO HIKE BROKER"S FEE
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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.