After consultation, SRO cuts proposed new dealer application fees
Earlier decision requiring clearing broker to produce records overturned
SRO sets out common requirements, contemplates shift to annual CE cycle
Proposed reforms would harmonize requirements for inter-listed securities
Agency will work with businesses and federal partners to move more quickly in the fight against money laundering and terrorist financing
OSC to delegate registration to CIRO, rest of CSA considering it too
Fee increase to be phased in over five years, bring projected revenues in line with expenses
Firm to help build infrastructure for new exam-based approach to reps' education
Reforms would extend program to fund dealers, expand monetary limits, fund certain costs
SRO curbs exemptions, toughens firms' approval requirements