No more pencils, no more books: the self-regulatory organization proposes to focus on exams instead
Group rejects proposed fee exemptions for self-regulatory organization and calls for greater advisor proficiency
Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work
SRO ordered US$48.1 million in monetary penslties in 2022
Account transfer standards and dual registration are also in the works
Fraudsters are posing as registered individuals
SRO expels brokerage over widespread regulatory violations
Senior employees used WhatsApp for business communications, regulators find
Firms will have until Dec. 31, 2024, to adopt the name and logo on required disclosures
New branding would replace existing logos by the end of 2024