Final Rules Relating to Cross-Border Security-Based Swap Activities Commissioner Daniel M. Gallagher Washington, D.C. June 25, 2014 Thank you, Chair White. I would like to ...
Beginning to Shine a Light on the Opaque Derivatives Market: Defining Dealers and Major Participants in the Cross-Border Context Commissioner Luis A. Aguilar Washington, D.C. ...
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Boards of Directors, Corporate Governance and Cyber-Risks: Sharpening the Focus Commissioner Luis A. Aguilar “Cyber Risks and the Boardroom” ConferenceNew York Stock ExchangeNew York, NY ...
Remarks at SEC Historical Society 2014 Annual Meeting: On the 80th Anniversary of the SEC Commissioner Daniel M. Gallagher Washington, D.C. June 5, 2014 Thank ...
Statement on 2nd Circuit Decision
Deutsche Bank seeks an exemption from Rules 101 and 102 of Regulation M under the Securities Exchange Act of 1934 in connection with a rights ...
Remarks at Municipal Securities Rulemaking Board's 1st Annual Municipal Securities Regulator Summit Commissioner Daniel M. Gallagher Washington, DC May 29, 2014 Thank you, Lynnette [Kelly], ...
April 2014 Supplement to the Security Futures Risk Disclosure Statement Implementation Date: ...