Amy Natterson Kroll

Amy Natterson Kroll

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Modernizing FINRA Rules for Member Workplaces: A Call for Comments

FINRA previously announced in Regulatory Notice 25-04 that it is launching a broad review to modernize its rules regarding member firms and associated persons and identified the modern workplace as its area of initial focus....more

4/28/2025  /  Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Modernization , Registered Investment Advisors , Rulemaking Process , Securities Exchange Act , Securities Regulation , Technology Sector
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