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ARTICLE · 23 FEBRUARY 2024

Financial Markets And Funds Quick Take | Issue 23

Katten
Katten
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Katten

Katten

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Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.

GlobalFinance and Banking
Adam Bolter
Adam Bolter
Robert Bourret
Robert Bourret
James Brady
James Brady
Wendy Cohen
Wendy Cohen
Christopher Collins
Christopher Collins
Daniel J. Davis
Daniel J. Davis
Sarah Eichenberger
Sarah Eichenberger
Carl E. Kennedy
Carl E. Kennedy
Nathaniel Lalone
Nathaniel Lalone
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Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.

To read more issues of Katten's Financial Markets and Funds Quick Take, please click here.

Katten Fact Sheet for Certain Firms That Must Become FINRA Members

By Susan Light, James Brady

With the Securities and Exchange Commission's (SEC) recent adoption of amendments to Rule 15b9-1 of the Securities Exchange Act of 1934 (SEA Rule 15b9-1), nearly all broker-dealers will be required to become Financial Industry Regulatory Authority (FINRA) members if the broker-dealer effects transactions other than on an exchange of which it is a member. FINRA will allow eligible firms to undergo the New Member Application (NMA) process with a short-form application due no later than May 9, 2024. Read Katten's fact sheet on SEA Rule 15b9-1.

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