Corporate & Financial Weekly Digest, Featuring Articles on CFTC Guidance for Futures Commission Merchants on Risk Assessments and AML Advisory Regulations From HM Treasury

BROKER-DEALER -

2021 Advisory Committee Overview and Engagement Notice -

On March 26, the Financial Industry Regulatory Authority (FINRA) published a notice encouraging employees of member firms and other interested persons to apply for upcoming vacancies on FINRA’s advisory and ad hoc committees. The Notice provides a general description of the responsibilities of each of FINRA’s advisory committees and some of FINRA’s ad hoc committees.

Please see full Newsletter below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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