Michael T. Foley
FINRA Files Proposed Rule Change to Delete the Order Audit Trail System (OATS) Rules
Corporate & Financial Weekly Digest ·
SEC and FDIC Adopt Final Rule on the Orderly Liquidation of Covered Broker-Dealers Under Dodd-Frank
Corporate & Financial Weekly Digest ·
SEC Announces Creation of the Event and Emerging Risk Examination Team in the Office of Compliance Inspections and Examinations
Corporate & Financial Weekly Digest ·
FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot and Portfolio Trades
Corporate & Financial Weekly Digest ·
Upcoming Effective Date of Amendments to FINRA Rule 6730 (Transaction Reporting)
Corporate & Financial Weekly Digest ·