In September 2024, the SEC approved amendments (Amendments) to FINRA’s TRACE reporting rules to reduce the current 15-minute time...
CN Editor
February 06, 2025
SEC RETREATS ON CLIMATE DISCLOSURE RULES
FINRA FINES APEX CLEARING $3.2 MILLION FOR VIOLATIONS RELATING TO FULLY PAID SECURITIES LENDING PROGRAM
FINRA PUBLISHES 2025 REGULATORY OVERSIGHT REPORT
FINRA ORDERS THREE FIRMS TO PAY OVER $8.2 MILLION IN RESTITUTION TO CUSTOMERS
Thank you for the feedback!!
CIRO SANCTIONS FORMER INVESTIA FINANCIAL SERVICES REP FROM REGINA, SK
CIRO SANCTIONS FORMER GRAVITAS SECURITIES INC. REP FROM TORONTO, ON
U.S. CHARGES CANADIAN FOR ALLEGED CRYPTO HACK
CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM TORONTO, ON