Corporate & Financial Weekly Digest

Corporate & Financial Weekly Digest

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Current Postings

FINRA Files Proposed Rule Change to CAB Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs
FINRA Requests Comment on Its Rule on Business Continuity Plans and Emergency Contact Information
Report from FINRA Board of Governors Meeting: Board Approves Rule Proposals, Engages with Boca Raton-Area Firms
NFA Reminds Members of Effective Date for Amendments to Information Systems Security Program Requirements
NFA Issues Notice Regarding Updated FinCEN AML/CFT Guidance

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For additional coverage on financial and regulatory news, visit Bridging the Week, authored by Katten’s Gary DeWaal.

Corporate & Financial Weekly Digest

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