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 New York 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 with SEC and FINRA enforcement proceedings and other contentious regulatory inquiries, purchases and sales, and the preparation and negotiation of common industry agreements. He also provides clients with counseling and advice across the full range of regulatory and compliance issues arising under the rule sets issued by the SEC, FinCEN, and FINRA. Glen prepares a monthly update of FINRA and SEC regulatory matters of interest to broker-dealers.