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| Practice Areas | Broker-Dealer Registration; Broker-Dealer Regulation; Corporate Law | | | Education | Benjamin N. Cardozo School of Law, Yeshiva University, J.D., 2005, Columbia University, B.A., 2000 | | | Admitted | 2006, New York | |
| ISLN | 918634991 | |
Documents by this lawyer on Martindale.com
FINRA Adopts After-Hour OTC Equity Trade Reporting RulesJulian Rainero, Robert S. Frenchman, Won Kyung Chang, Patrick E. Brake, September 29, 2009 On July 23, 2009, the Securities and Exchange Commission ("SEC") approved changes to Financial Industry Regulatory Authority, Inc. ("FINRA") trade reporting rules applicable to over-the-counter ("OTC") transactions in equity securities executed outside normal market...
FINRA Amended Trade Reporting Rules Effective August 3, 2009Patrick E. Brake, Won Kyung Chang, Robert S. Frenchman, Julian Rainero, August 10, 2009 On November 5, 2008, the Securities and Exchange Commission ("SEC") approved the proposal from the Financial Industry Regulatory Authority, Inc. ("FINRA") to overhaul the trade reporting structure for over-the-counter ("OTC") equity transactions and to implement... |
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