Justin Senior

Justin Senior

Shumaker, Loop & Kendrick, LLP

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SEC Requires FINRA Membership for Previously Exempt Broker-Dealers

The Securities and Exchange Commission (SEC) has recently proposed (July 29, 2023) and rapidly adopted (August 23, 2023) amendments to SEC Rule 15b9-1 that will essentially require almost all broker-dealers to become...more

9/22/2023  /  Broker-Dealer , Compliance , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Investment Funds , Registered Investment Advisors , Securities and Exchange Commission (SEC)
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