As part of FINRA Forward’s rule modernization initiative, FINRA’s Board recently approved updates to FINRA’s requirements for how...
CN Editor
February 04, 2026
PAIR RAN MASSIVE MARKET MANIPULATION SCHEME: SEC
SEC PUBLISHES DATA ON EXCHANGE TRADED FUNDS AND FUND MERGERS; UPDATED STATISTICS ON MUNICIPAL ADVISORS, TRANSFER AGENTS, AND SECURITY-BASED SWAP DEALERS
SEC SETTLES ACCOUNT FRAUD ALLEGATIONS
SEC ALLEGES SPAC DEAL BASED ON FRAUD
Thank you for the feedback!!
THE BANKER, THE BROTHERS, THE FRIENDS AND THEIR FRAUDS
2026 COMPLIANCE PRIORITIES AND REGULATORY DIVISION INITIATIVES
DRAMATIC INCREASE IN FINTRAC FINES COMING, BUT THEIR EFFECTIVENESS IS LESS CLEAR
CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM ONTARIO