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In the latest episode of Focus on Alternatives, John Grady speaks with Gabriela Aguero, FINRA's vice president of corporate financing, about FINRA Forward, the regulator's initiative to modernize oversight, empower firm compliance and support resilience. Aguero also discusses how member firms can engage with FINRA and why industry events like ADISA's are critical to understanding the evolving alternatives marketplace.
The Alternative and Direct Investment Securities Association, Inc. (ADISA) has made this series available solely for informational purposes.
The series is the copyrighted content of ADISA. You may access, review, and use this information, but may not republish it in any manner without the express written permission of ADISA.
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The series does not constitute legal or other professional advice. It is recommended that you seek legal or other professional advice to determine whether any advice, actions or practices contained in the series are appropriate and legal in your jurisdiction.
