self-regulatory organizations

Regulators warn investors of advisor impersonators Regulators warn investors of advisor impersonators

Industry

Regulators warn investors of advisor impersonators

Fraudsters are posing as registered individuals

By Staff |May 25, 2023

1 min read

FINRA to firm: Get out! FINRA to firm: Get out!

Industry

FINRA to firm: Get out!

SRO expels brokerage over widespread regulatory violations

By James Langton |May 12, 2023

2 min read

CFTC, SEC sanction Scotia for texting violations CFTC, SEC sanction Scotia for texting violations

Industry

CFTC, SEC sanction Scotia for texting violations

Senior employees used WhatsApp for business communications, regulators find

By James Langton |May 11, 2023

1 min read

CIRO it is: SRO members approve new name CIRO it is: SRO members approve new name

Industry

CIRO it is: SRO members approve new name

Firms will have until Dec. 31, 2024, to adopt the name and logo on required disclosures

By Mark Burgess |April 24, 2023

1 min read