Susan Light

ID: 1b830a4e-2619-30fb-68c4

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Unclaimed

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Organization: Katten Muchin Rosenman

FINRA Issues Regulatory Notice Reminding Members of the SEC’s Adoption of a Best Interest Standard of Conduct

Corporate & Financial Weekly Digest · August 9, 2019

CBOE Proposes Amendments to Rule 6.49A Concerning Off-Floor Position Transfers Including RWA Transfers

Corporate & Financial Weekly Digest · July 26, 2019

FINRA Announces Final Results of Mutual Fund Waiver Initiative

Corporate & Financial Weekly Digest · July 19, 2019

FINRA Publishes Guidance on Public Offering Review Process and Private Placement Filings

Corporate & Financial Weekly Digest · July 19, 2019

Division of Trading and Markets and FINRA Staffs Issue Joint Statement on Broker-Dealer Custody of Digital Asset Securities

Corporate & Financial Weekly Digest · July 12, 2019