![United States: Katten Fact Sheet For Certain Firms That Must Become FINRA Members - Katten Muchin Rosenman LLP](https://cdn.newsserve.net/ONPglobe256.png)
United States: Katten Fact Sheet For Certain Firms That Must Become FINRA Members - Katten Muchin Rosenman LLP
As background, the SEC adopted amendments to Rule 15b9-1 of the Securities Exchange Act of 1934 (SEA Rule 15b9-1) that require a broker-dealer to become a FINRA member if the broker-dealer effects transactions ...
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