Corporate & Financial Weekly Digest, Featuring Articles on a FINRA Warning on Imposter Websites and Proposed Rules Changes on Position Transfers and Investigations Into Disciplinary Matters From the CBOE

James Brady, Carolyn Jackson, Nathaniel Lalone, Stanley Polit, Neil Robson
Katten Muchin Rosenman LLP
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BROKER-DEALER -

SEC Extends Compliance Date for Regulation NMS Changes -

The Securities and Exchange Commission has extended the compliance dates for amendments to Rule 606 of Regulation National Market System (NMS) that were adopted in November 2018.

Please see full publication below for more information.

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