Ross Pazzol

ID: 1b830a08-2619-30fb-68c4

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Unclaimed

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Organization: Katten Muchin Rosenman

SEC Approves FINRA’s Consolidated Financial Responsibility and Related Operational Rules

Corporate & Financial Weekly Digest · June 3, 2011

SEC Announces Filing of Proposed Limit Up-Limit Down Requirements

Corporate & Financial Weekly Digest · April 8, 2011

FINRA Clarifies Obligations and Supervisory Responsibilities for Functions Outsourced to Third-Party Service Providers

Corporate & Financial Weekly Digest · April 1, 2011

FINRA Amends Sanction Guidelines

Corporate & Financial Weekly Digest · March 25, 2011

BATS Proposes Rule Changes Relating to Fees

Corporate & Financial Weekly Digest · January 7, 2011