The CRTA says the appointments will help raise standards
The Market Structure Advisory Committee provides feedback on policy affecting the trading landscape
Conference to feature appearances by Stephen Poloz, global regulators
OSC says company execs used funds for personal gain
The CFTC alleges the defendants made misleading statements in email ads and in an online trading room
Organization says precise timing of trades helps create a clear audit trail
Enforcement was split roughly evenly between cases involving registered and unregistered defendants
Eight U.S. state attorneys general say the new broker conduct rule waters down investor protections
The two men pleaded guilty to 171 securities law violations
NASAA says cybersecurity deficiencies at small firms are on the rise