Navigating the Nexus: Decoding the US Regulatory Landscape
29th November 2023
Join Kate Horgan, Business Development Manager at Zeidler Group, as she hosts the latest episode of the Legal Zeidgeist podcast. Get ready for an insightful exploration of the intricate US regulatory landscape. Kate is accompanied by Zeidler Group colleagues, Madeline Gegg and Alex Mercer, both Associates based in Zeidler’s Phoenix office. Together, they navigate the maze of Federal, State, and Self-Regulatory Organizations.
In this podcast episode, gain clarity on the multifaceted regulatory system. Madeline and Alex simplify the complexities by discussing crucial entities such as the SEC, CFTC, state-specific variations, and key players like FINRA. Dive into invaluable insights into the intricate US regulatory framework and discover essential strategies for achieving comprehensive compliance within the financial industry.