Access the December issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection
Access the November issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Access the October issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection
Access the September issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection
Access the August issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Access the July issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection
Access the June issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection
The Financial Conduct Authority (FCA) has sent a ‘Dear CEO’ letter to general insurance intermediary firms reminding them of their obligations to maintain appropriate arrangements for client money. The FCA had reminded general insurance intermediaries of their obligations in a letter in September 2020. As part of its work on financial resilience the FCA
Access the May issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection
Access the April issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers.
Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection