The SEC is charging the New York Stock Exchange and two affiliated exchanges for their failure to follow exchange rules and federal securities laws.
U.S. federal prosecutors are close to bringing charges against Credit Suisse and BNP Paribas in two unrelated cases, the New York Times reports.
The Canadian Securities Administrators (CSA) has published for comment proposed National Policy 25-201 Guidance for Proxy Advisory Firms (Proposed Policy).
TSX is more efficient, but traders are going to the dark side.
Over the next decade, securities firms will prosper.
SEC releases trade execution proposal to protect investors.
The OSC is extending the effective date of reporting obligations under the TR Rule and alleviating certain reporting burdens on Ontario non-dealer counterparties.
An SEC lawyer had harsh words for his employer during a farewell party earlier this week, reports Bloomberg.
Canadian Securities Administrators is looking for research proposals from firms that want to help examine Canada’s mutual fund fee structure.
The Alberta Securities Commission (ASC), the British Columbia Securities Commission (BCSC), the Ontario Securities Commission (OSC), and the Autorité des marchés financiers (AMF) have entered into a Memorandum of Understanding (MOU) with the U.S Commodity Futures Trading Commission (CFTC) aimed at enhancing the cross-border supervision of firms that operate in both countries.