Summary includes current issues and compliance challenges regulated dealers should focus on.

Representative also permanently banned from both registration and future employment.

Liability decision resulted in the end of respondent’s employment in the industry.

Request for comment focuses on eligibility, administration challenges and proposed processes.

Selected in December, panelists tasked with job of conveying investor concerns to regulator.

Advisor penalized after admitting to ‘facilitating stealth advising’.

Investor protection funds also merge.