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Financial Industry Regulatory Authority (FINRA) › Securities and Exchange Commission (SEC) › Required Documentation

King & Spalding

SEC Approves FINRA Supervisory Control Rules Expanding Remote Work Options for Broker-Dealers

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Financial Industry Regulatory Authority (“FINRA”) supervisory control rules require each securities broker-dealer that is a member of FINRA to categorize every location from which the business of the broker-dealer is...more

Morrison & Foerster LLP - Structured Products

Structured Thoughts: News for the financial services community, Volume 6, Issue 6

Morrison & Foerster LLP - Structured Products on

U.S. Structured Warrant Programs: Introduction - U.S. and non-U.S. banks have offered structured warrants in the U.S. to address the needs of both institutional and high-net worth investors. This article will...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - March 29, 2013

Katten Muchin Rosenman LLP on

In this issue: - Proposed Change to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information - SEC Approves on an Accelerated Basis FINRA Rule Change Relating to Margin...more

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