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CIRO ALLEGES GATEKEEPER FAILURES BY CANACCORD GENUITY REP FROM CALGARY, AB

CIRO has scheduled a hearing for Patrick H. Watson (Watson), a Registered Representative with Canaccord Genuity Corporation from Calgary, Alberta. CIRO alleges that Watson failed to act as a gatekeep...

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CFTC
CFTC SECURES FEDERAL COURT ORDERS REQUIRING FORMER LONG ISLAND RESIDENT AND HIS FIRM TO PAY OVER $288 MILLION FOR OPERATING A COMMODITY POOL PONZI SCHEME
October 20, 2026

The Commodity Futures Trading Commission announced the U.S. District Court for the Southern District of New York entered orders g...

SIFMA
SIFMA URGES SEC TO RESOLVE KEY QUESTIONS ON INNOVATION EXEMPTION BEFORE TOKENIZED SECURITIES VENUES LAUNCH
October 20, 2026

IFMA submitted a comment letter to the Securities and Exchange Commission (SEC) on the Commission’s recently published Innovation...

Investment Executive
FCA REVOKES BANS ON VINDICATED TRADERS
October 20, 2026

After their criminal convictions were tossed out, the U.K.’s Financial Conduct Authority (FCA) is rescinding its bans on traders ...

Investment Executive
EUROPE"S T+1 MOVE IN THE HOME STRETCH
October 20, 2026

With less than a year to go until European securities markets move to faster settlements, the European Securities and Markets Aut...

CIRO
UPDATE TO CIRO REQUIREMENTS REGARDING EVENT CONTRACTS
October 19, 2026

The Canadian Investment Regulatory Organization (CIRO) is updating the terms and conditions applicable to Investment Dealer Membe...

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