FINRA’s Proposed Limited Broker Regime Falls Short of Private Fund Needs
By EsqSocial Corporation 20/03/14
FINRA proposes a new “lite” registration regime for private placements and M&A activity. The Financial Industry Regulatory Authority’s (FINRA) recently issued Regulatory Notice regarding proposed rules (Proposed Rules) would apply to firms that...
By: Latham & Watkins LLP