SEC Rule 15b9-1 Expands FINRA Oversight: Insights into FINRA Membership Requirements Oyster Stew - A Broth of Financial Services Commentary and Insights

Our experts and special guest Susan Light, Partner and Co-chair of Broker Dealer Regulation at Katten Muchin Rosenman LLP, explore the new SEC rules expanding the number of firms required to register with a self-regulatory organization. They share their experience and insights into the rule changes, including what it means for the firms who must comply, the FINRA registration application process, challenges non-broker dealer entities may experience adapting to FINRA membership, an...