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Katten Muchin Rosenman LLP

FINRA Updates Its Interpretation of the SEC’s Financial Responsibility Rules

Katten Muchin Rosenman LLP on

In June, the Financial Industry Regulatory Authority updated its interpretations of the Securities and Exchange Commission Rules 15c3-1 (net capital) and 15c3-3 (customer protection). Among other things, FINRA updated its...more

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