Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Request for Comment on Amendments to Margin Requirements and the HM Treasury's Intention to Remove UK MiFIR Open Access Regime for ETDs
By EsqSocial Corporation 10/05/21
BROKER-DEALER - FINRA Seeks Comment Regarding Diversity and Inclusion Initiatives - The Financial Industry Regulatory Authority (FINRA) is seeking comment on rules, operations and administrative processes that may create unintended disparate impacts on those within the industries that FINRA regulates. FINRA recognizes that several broker-dealer industry participants have developed initiatives and programs to foster greater diversity, inclusion and equal opportunity in the industry, and FINRA...
By: Katten Muchin Rosenman LLP