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Partner, Co-Chair, Broker-Dealer Regulation, Katten Muchin Rosenman LLP
Blog
CAT Compliance and Supervision: FINRA’s Expectations for Firms in 2025 On Wednesday January 29, 2025, FIINRA notified industry members in their week...
Podcast
The Importance of Building Positive Regulator Relationships Building and maintaining strong relationships with regulators is not just beneficial, but ...
Each year, registered investment advisers (RIAs) face a variety of regulatory filing obligations, including annual amendments to Form ADV, Form PF sub...