Gregory A. Uffner
SEC Approves FINRA Rule Change to Permit the Use of Electronic Signatures for Discretionary Accounts
Corporate & Financial Weekly Digest ·
SEC Examines Stock Exchange Pricing
Corporate & Financial Weekly Digest ·
FINRA Extends Deadline To Self-Report Violations Under 529 Plan Share Class Initiative
Corporate & Financial Weekly Digest ·
FINRA Working Paper Concludes High Broker-Affiliated ATS Order Routing is Associated with Lower Fill Rates, Higher Transaction Costs
Corporate & Financial Weekly Digest ·
FINRA Issues Report on Examination Findings
Corporate & Financial Weekly Digest ·