The North American Securities Administrators Association (NASAA) has announced a $17 million settlement with Edward D. Jones & Co...
CN Editor
January 09, 2025
CLOSING THE GAP BETWEEN MUTUAL, SEG FUND REGULATION
NASAA ANNOUNCES IMPORTANT UPDATES TO THE ELECTRONIC FILING DEPOSITORY ("EFD") AND GUIDANCE FOR FILINGS SUBMITTED ON DECEMBER 31, 2024
NBF SETTLES SUPERVISORY ALLEGATIONS WITH MX
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.