An audit by Canadas largest regulator, the Ontario Securities Commission (OSC), of eight randomly selected high-end investment adviser firms has yielded so many problems, the OSC is getting set to examine the business practices of that entire...
A day after NASD members voted on a board restructuring that would allow the AMEX merger to proceed, NASD head Frank Zarb told a group of small California brokerages that the merger will not cost us anything. There will not be any money coming out...