Taylor Anderson

Taylor Anderson

Bressler, Amery & Ross, P.C.

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SIFMA C&L Virtual Forum Addresses FINRA’s 2021 Priorities for Private Client Firms

On July 20, 2021, SIFMA hosted a panel discussing key legal and regulatory issues for private client firms at SIFMA’s 2021 C&L Virtual Forum. Several key subjects were discussed by the panel, including: (1) FINRA’s 2021...more

8/2/2021  /  Financial Industry Regulatory Authority (FINRA) , Financial Institutions , Financial Services Industry , Form CRS , Regulation Best Interest , Risk Management , SIFMA
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