An OSC enforcement action against a former rep has extended an existing suspension
The MFDA is working on an "implementation roadmap" for its vision for the future of self-regulation
The move comes as regulators make it easier for mutual fund reps to deal in alternative funds
The industry has standardized its LTA practices
MFDA to continue accepting documents from dealers in electronic format
The permanent ban follows a jail term and restitution order
The DSC prohibition has led to a decreasing number of advisors licensed with financial advisory firms
A dealer has reported a fake message impersonating the SRO
The average client has $75,000 in assets and is saving for retirement, an MFDA report says
With conduct rules looming, the investment industry has work to do