Insights on what goes into the rule-making process are shared by FINRA CEO, Robert Cook at our 2024 Annual Conference. Learn more about #FINRAAC: https://bit.ly/3wT7xtt
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Managing Director @ Kroll | Microsoft Certified, Enterprise Services and Software Development
Navigating the complex journey of becoming a FINRA member? Kroll's latest article breaks down the New Membership Application process, key compliance requirements and critical steps to ensure your firm meets the highest standards. Establish your place in the competitive U.S. financial markets now: http://ms.spr.ly/6045lKKGS #FINRA #RegulatoryCompliance
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Navigating the complex journey of becoming a FINRA member? Kroll's latest article breaks down the New Membership Application process, key compliance requirements and critical steps to ensure your firm meets the highest standards. Establish your place in the competitive U.S. financial markets now: http://ms.spr.ly/6041lJJvx #FINRA #RegulatoryCompliance
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Navigating the complex journey of becoming a FINRA member? Kroll's latest article breaks down the New Membership Application process, key compliance requirements and critical steps to ensure your firm meets the highest standards. Establish your place in the competitive U.S. financial markets now: http://ms.spr.ly/6040lyC6G #FINRA #RegulatoryCompliance
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📽️ The SEC's revival of the rule to prohibit conflicts of interest in certain securitizations, which was first proposed in 2011, surprised the market. But what's next? Listen to Global Financial Markets partner Rebecca O'Brien provide valuable insights into the rule's new focus areas and what this means for securitization participants. Download our latest insights publication "Securitization Markets and Regulation – Navigating the Shifting Sands" to find out more: https://okt.to/M4lT9I #Finance #Regulation #Securitization #StructuredFinance
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🚀 Dive deep into the intricacies of public offerings with our latest blog post! 💼 Patrick Costello from Bevilacqua PLLC breaks down Section 12(g) of the Securities Exchange Act, guiding both companies and investors through the maze of regulations. Discover the essentials of registering securities with the SEC and uncover the triggers for registration. Stay informed, stay ahead! Read now: https://lnkd.in/dQki6MY3 #Finance #Regulations #SEC #Investing101 📈
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Member of the Valuation Advisory Services Management Committee at Kroll
Navigating the complex journey of becoming a FINRA member? Kroll's latest article breaks down the New Membership Application process, key compliance requirements and critical steps to ensure your firm meets the highest standards. Establish your place in the competitive U.S. financial markets now: http://ms.spr.ly/6042lJr0E #FINRA #RegulatoryCompliance
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📣 Partner and Broker-Dealer Regulation Co-Chair Wayne Aaron and Financial Markets and Funds Associate Robert Bourret analyze significant updates from the SEC on Regulation NMS. For a detailed analysis of these changes and their implications, read our full advisory here - https://bit.ly/3TAxy9F #SEC #TickSize #RegulationNMS #Securities
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📣 Partner and Broker-Dealer Regulation Co-Chair Wayne Aaron and Financial Markets and Funds Associate Robert Bourret analyze significant updates from the SEC on Regulation NMS. For a detailed analysis of these changes and their implications, read our full advisory here - https://bit.ly/3TAxy9F #SEC #TickSize #RegulationNMS #Securities
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Dedicated to effective advocacy for clients engaged in complex commercial litigation and alternative dispute resolution.
📣 Partner and Broker-Dealer Regulation Co-Chair Wayne Aaron and Financial Markets and Funds Associate Robert Bourret analyze significant updates from the SEC on Regulation NMS. For a detailed analysis of these changes and their implications, read our full advisory here - https://bit.ly/3TAxy9F #SEC #TickSize #RegulationNMS #Securities
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Class of 2026 Executive MBA UNC Kenan-Flagler Attorney at Katten Muchin Rosenman LLP
📣 Partner and Broker-Dealer Regulation Co-Chair Wayne Aaron and Financial Markets and Funds Associate Robert Bourret analyze significant updates from the SEC on Regulation NMS. For a detailed analysis of these changes and their implications, read our full advisory here - https://bit.ly/3TAxy9F #SEC #TickSize #RegulationNMS #Securities
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