Timothy D. Kertland
FINRA Conducts Review of Waiver and Rebate Systems and Procedures with Respect to Mutual Fund ROR Purchases
Corporate & Financial Weekly Digest ·
CFTC to Hold Open Commission Meeting on October 6
Corporate & Financial Weekly Digest ·
CFTC Extends No-Action Relief for Certain Reporting Obligations under the OCR Final Rule
Corporate & Financial Weekly Digest ·
FINRA Files Proposed Rule Change to Delete the Order Audit Trail System (OATS) Rules
Corporate & Financial Weekly Digest ·
CFTC Approves Amendments to Margin Requirements for SDs and MSPs
Corporate & Financial Weekly Digest ·