Kyle Whitehead

Kyle Whitehead

Morgan Lewis

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Broker-Lite: FINRA Built It, But Will They Come?

On August 18, 2016, the US Securities and Exchange Commission (SEC) approved a new Financial Industry Regulatory Authority (FINRA) rule series intended as a “lite” framework for the registration and regulation of brokers that...more

9/1/2016 - Anti-Money Laundering Arbitration Associated Persons Broker-Dealer Capital Acquisition Broker (CAB) Carve Out Provisions Chief Compliance Officers Duties & Responsibilities FINRA Institutional Investors Net Capital Rule No-Action Letters Private Placements Prohibited Transactions SEC

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