Navigating the Nexus: Decoding the US Regulatory Landscape
Update: 2023-11-29
Description
In this episode of the Legal Zeidgeist podcast, the US regulatory landscape is unravelled. Kate Horgan, Business Development Manager at Zeidler Group, is joined by colleagues Madeline Gegg and Alex Mercer, Associates in Zeidler's Phoenix office to guide you g through the maze of Federal, State, and Self-Regulatory Organizations.
Navigating the regulatory landscape demands a comprehensive understanding of each entity's requirements and expectations. Madeline and Alex demystify the complex regulatory system, outlining the SEC, CFTC, state variations, and entities like FINRA. Gain insights into the complex US regulatory framework and uncover the strategies necessary for comprehensive compliance in the financial industry.
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