Michael Lohnes

Michael Lohnes

Katten Muchin Rosenman LLP

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FINRA Clarifies Guidance on Best Execution and Payment for Order Flow

The Financial Industry Regulatory Authority (FINRA) recently issued a Regulatory Notice (Notice) reminding firms of their obligations with respect to best execution and payment for order flow....more

7/28/2021  /  Broker-Dealer , Compliance , Conflicts of Interest , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Fund Managers , Investment Adviser , Securities and Exchange Commission (SEC)
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