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Capital Markets › Private Funds › Financial Industry Regulatory Authority (FINRA)

Alston & Bird

Thinking Ahead: Increased and New FINRA Fees for Public Offering and Private Placement Reviews

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Our Investment Funds Team reviews changes to two fees from the Financial Industry Regulatory Authority (FINRA) that begin July 1, 2025....more

K&L Gates LLP

US Asset Management Regulatory Year in Review 2023

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It is a dramatic understatement to describe 2023 as a busy year in the United States for asset management regulation. With 24 rules adopted and 18 new rules or rule amendments proposed, the US Securities and Exchange...more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take - April 2022

Katten Muchin Rosenman LLP on

Welcome to the inaugural issue of Katten’s Financial Markets and Funds Quick Take. Each month, Quick Take will highlight key noteworthy developments potentially affecting financial markets and funds. ...more

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