Investment cases rose 3% to reach an all-time high
SRO says high risk, high volume trades, insufficient notes should have raised red flags
Rep allegedly exploited credit brokers provide to facilitate new client trading
Broad-based growth powers gains in revenue, earnings
New evaluation comes amid regulators' ongoing reform work
Regulators review suitability guidance for industry management
Court upholds summary judgment in dispute over dealer's loan to rep
Advisors will benefit from a consolidated operating model
“We can’t answer the questions that clients are asking,” dealer says
SRO proposes consolidated rulebook, alongside end to dual registration