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BCLP

A Cautionary Tale of a Small Broker-Dealer’s and its Associated Persons’ Failure to Honor FINRA’s Suspension Rules

BCLP on

Being a small business owner is tough. You often wear several hats and juggle multiple responsibilities while you try to build a successful business. This is especially true for small financial services firms that are subject...more

Katten Muchin Rosenman LLP

FINRA Requests Comment on Revised Discretionary Accounts and Transactions Rule

Katten Muchin Rosenman LLP on

The Financial Industry Regulatory Authority is requesting comment on a revised proposal to consolidate and clarify certain National Association of Securities Dealers (NASD) and New York Stock Exchange rules into new FINRA...more

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