Ken Norensberg, CEO of Luxor Financial Group, a nationally recognized compliance and business development company, has responded to these regulatory notices with a comment as follows.
July 14, 2025
Ken Norensberg, CEO of Luxor Financial Group, Inc and former Member of the FINRA Board of Governors, is grateful for the opportunity to comment on Regulatory Notice 25-07. As a nationally recognized regulatory and broker dealer compliance consulting firm, Luxor Financial Group regularly consults with broker dealers and their registered representatives and has heard their concerns. As such, we can voice their concerns by presenting this... Read More
June 18, 2025
Ken Norensberg, CEO of Luxor Financial Group, Inc and former Member of the FINRA Board of Governors, is grateful for the opportunity to comment on Regulatory Notice 25-06. As a nationally recognized regulatory and broker dealer compliance consulting firm, Luxor Financial Group regularly consults with broker dealers and thei registered representatives and has heard their concerns. As such, we can voice their concerns by presenting this... Read More
June 11, 2025
Ken Norensberg, CEO of Luxor Financial Group, Inc and former Member of the FINRA Board of Governors, is grateful for the opportunity to comment on Regulatory Notice 25-04. As a nationally recognized regulatory and broker dealer compliance consulting firm, Luxor Financial Group regularly consults with broker dealers and their registered representatives and has heard their concerns. As such, we can voice their concerns by presenting this... Read More
