Stephen Vogt

ID: 1b83a9c5-2619-30fb-68c4

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Claimed Record

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Organization: Mayer Brown

SEC Adopts Rules to Require Registration of Certain Persons Engaging in Liquidity-Providing Activities as “Dealers” and “Government Securities Dealers”

Free Writings + Perspectives · February 23, 2024

FINRA Announces Effective Dates for Remote Inspections Pilot Program & Residential Supervisory Location Rules;COVID-19 Relief Ends

Free Writings + Perspectives · February 7, 2024

FINRA Publishes 2024 Annual Regulatory Oversight Report

Free Writings + Perspectives · January 18, 2024

SEC Significantly Narrows Exemption from FINRA Membership for Proprietary Trading Firms

Free Writings + Perspectives · September 6, 2023

A New Federal Exemption from Broker Registration for Qualifying M&A Brokers Became Effective on March 29, 2023 (Prior SEC No-Action Relief Has Been Withdrawn)

Free Writings + Perspectives · April 13, 2023

Practice Areas

Business and Commercial

Jurisdictions