self-regulatory organizations

SEC ramps up hedge fund regulation Fallback Image Decorative pattern

Products

SEC ramps up hedge fund regulation

New rules aim to improve transparency, investor protection in private fund market

By James Langton |August 23, 2023

3 min read

SEC expands FINRA’s jurisdiction SEC expands FINRA’s jurisdiction

Regulation

SEC expands FINRA’s jurisdiction

New rule sharply narrows prop traders' SRO exemption

By James Langton |August 23, 2023

2 min read

CIRO plans industry-wide client research project CIRO plans industry-wide client research project

Industry

CIRO plans industry-wide client research project

SRO to expand former MFDA project to all dealers in 2024

By James Langton |August 4, 2023

1 min read

CIRO fines firm for retail compliance violations Fallback Image Decorative pattern

Industry

CIRO fines firm for retail compliance violations

Firm admitted to serving retail investors before SRO approvals, systems in place

By James Langton |July 24, 2023

2 min read