Regulator analyzes feedback to policy options proposed in January.

Representative thrown out of the industry for falsifying client signatures.

Former representative maintains that sanctions were unwarranted for her actions.

Names and sanctions re-published in annual consolidated report.

Finds that a permanent ban from registration was not harsh or excessive.

Distribution, acquistions and excess capital deployment all top of mind for executives.

Regulator says use of unapproved sales materials contrary to rules.