SEC Rule 15b9-1 Expands FINRA Oversight: Insights into FINRA Membership Requirements

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - February 28, 2024 16:00 - 31 minutes - 21.5 MB - ★★★★★ - 7 ratings
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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, and how FINRA has historically handled rule changes involving new membership.

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