Glen Barrentine is Of Counsel in the New York office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection with
FINRA (and selected SEC) regulatory matters at a glance – What compliance officers need to know
Glen Barrentine prepares a monthly update of FINRA and SEC regulatory matters of interest to broker-dealers.…