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Proskauer Rose LLP
Kathy H. Rocklen
Kathy H. Rocklen
Proskauer Rose LLP
Broker-Dealer Beat August 2019
26 Aug 2019 | United States
Broker-Dealer Beat - August 2019
08 Aug 2019 | United States
Broker-Dealer And Investment Adviser Standards Of Conduct - SEC Adopts Rules And Interpretations
24 Jun 2019 | United States
Analysis Of The SEC's MiFID II No-Action Relief
12 Jan 2018 | United States
Broker-Dealer Beat - December 2017
07 Dec 2017 | United States
Fed Adopts Final Rule Regarding Contract Termination Provisions For Repos, Stock Loans And Swaps With Systemically Important Banks
12 Sep 2017 | United States
SEC Announces Settlement With Adviser Found To Have Acted As An Unregistered Broker And Engaged In Conflicted Transactions
08 Jun 2016 | United States
CFTC Brings Enforcement Action For Swap Reporting Violations
22 Oct 2015 | United States
Broker-Dealer Beat - August 2015
14 Aug 2015 | United States
Broker-Dealer Beat: Foreign Finders
25 Jun 2015 | United States
Broker-Dealer Beat - May 2015
27 May 2015 | United States
Broker-Dealer Beat - December 30, 2014
31 Dec 2014 | United States
Broker-Dealer Beat
02 Dec 2014 | United States
Broker-Dealer Beat - October 2014
27 Oct 2014 | United States
Broker-Dealer Beat - September 2014
23 Sep 2014 | United States
Contact Details
New York
Email Website
New York
United States

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