Brokerage giant Merrill Lynch is paying US$7.5 million to resolve regulatory charges arising from alleged failings in its anti-mo...
CN Editor
June 30, 2026
SEC SANCTIONS "WHITE LABEL" CFD TRADERS
MX PROPOSES RETAIL-FOCUSED REFORMS
FINRA TO CUT RETAKE TIME BETWEEN EXAM ATTEMPTS FOR ASPIRING REPS
SEC SEEKS PUBLIC COMMENT ON NOVEL EXCHANGE-TRADED FUNDS
Thank you for the feedback!!
REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
CIRO REGISTRATION - THE FIT AND PROPER TEST FOR APPROVED PERSONS