The financial penalty is the largest ever ordered by the U.S. self-regulatory organization
Conflicts-related reforms come into effect June 30
Ex-rep admitted to misappropriating money and undisclosed borrowing from a client
The RCMP alleges a former rep engaged in unauthorized trading and secret commissions
FINRA has fined the firm and ordered restitution, for early rollover recommendations
An oversight examination has uncovered just one "low-priority" issue with market surveillance
The Quebec regulator achieved its objectives despite the pandemic
Rep violated suitability obligations by investing clients in funds with risky holdings
The amount of capital the banks must hold to cover unexpected losses will rise to 2.5%
The commissioner job is set to change with a planned tribunal spinoff