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Financial Industry Regulatory Authority (FINRA) › Mexico

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume X, Issue 3

Katten Muchin Rosenman LLP on

In this issue: - SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals - SEC Comments on FINRA's Proposed Rule Amendment to Increase Pricing Disclosure - CFTC Grants...more

Broker-Dealer Compliance + Regulation

FINRA Focuses AML Enforcement on a BD Doing Business in Mexico

Broker-Dealer Compliance + Regulation on

The Financial Industry Regulatory Authority (FINRA) recently took formal disciplinary action against a New York-based broker-dealer that is affiliated with a Mexican broker-dealer and a Mexican bank for inadequate anti-money...more

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