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Broker-Dealer and Investment Adviser Account Recommendations

By John Ayanian on July 19, 2022
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This article was originally published in “The Review of Securities & Commodities Regulation,” Vol. 55 No. 13, July 20, 2022.

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Photo of John Ayanian John Ayanian

John is co-chair of the firm’s Securities Enforcement & Regulatory Counseling practice group and advises clients on broker-dealer and securities market regulatory matters. He counsels U.S. and foreign financial institutions and markets on all aspects of their U.S. securities trading, markets, and clearing

…

John is co-chair of the firm’s Securities Enforcement & Regulatory Counseling practice group and advises clients on broker-dealer and securities market regulatory matters. He counsels U.S. and foreign financial institutions and markets on all aspects of their U.S. securities trading, markets, and clearing activities. These include issues arising under U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) rules.

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  • Posted in:
    Banking, Finance and Securities
  • Blog:
    Subject to Inquiry
  • Organization:
    McGuireWoods LLP
  • Article: View Original Source

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