Ross Pazzol
SEC Proposes Rule Prohibiting Fraud, Manipulation and Deception in Connection with Security-Based Swaps
Corporate & Financial Weekly Digest ·
FINRA Amends Proposal to Adopt Streamlined Customer Confirmation Rule
Corporate & Financial Weekly Digest ·
SEC Approves Amendments to FICC’s Government Securities Division Rules Relating to Close Out Netting
Corporate & Financial Weekly Digest ·
SEC Adopts Interim Final Security-Based Swap Reporting Rule
Corporate & Financial Weekly Digest ·
FINRA Seeks Expansion of the Audit Trail System to All NMS Stocks
Corporate & Financial Weekly Digest ·