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Partner, Co-Chair, Broker-Dealer Regulation, Katten Muchin Rosenman LLP
Podcast
Unlock Expert Insights – The Build vs. Buy Decision Join Oyster Consulting’s technology specialists, Jeff Wilk and Dan Garrett, as they delve ...
Blog
The Insider Trading Compliance Paradox Recently, I had a chance to revisit the paradox of the best way for a broker-dealer or Registered Investment Ad...
A Step Toward Greater Market Transparency The Securities and Exchange Commission (SEC) approved changes to FINRA Rule 6730 (Transaction Reporting) pro...