James Van De Graaff

ID: 1b830a02-2619-30fb-68c4
Unclaimed
Organization: Katten Muchin Rosenman
FINRA Issues Notice on the Application of the Mark-Up Rule to Exempted Government Securities Transactions
Corporate & Financial Weekly Digest ·
Notice of Filing of a Proposed Rule Change To Adopt the Capital Acquisition Broker Rules
Corporate & Financial Weekly Digest ·
Revised Pay-to-Play Rules
Corporate & Financial Weekly Digest ·
Research Note: Equity Market Volatility on August 24, 2015
Corporate & Financial Weekly Digest ·
FINRA’s 2016 Regulatory and Examination Priorities
Corporate & Financial Weekly Digest ·