FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA ...
Comment Letter on the OFR Asset Management and Financial Stability Report Commissioner Daniel M. Gallagher May 15, 2014 Today, I filed a comment letter in ...
SEC Approves Amendments to Equity Trade Reporting and OATS Rules Effective Dates: ...
SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal ...
Barclays receives an exemption from Rules 101 and 102 of Regulation M to permit the Derivatives Market Making Units and Hedging Units; the Asset Managers; ...
Introductory Remarks at The Evolving Role of Compliance in the Securities Industry Presentation Commissioner Daniel M. Gallagher Washington, D.C. May 12, 2014 Thank you, David ...
Remarks at the 46th Annual Rocky Mountain Securities Conference Commissioner Daniel M. Gallagher Denver, CO May 9, 2014 Thank you, Julie [Lutz], for that kind ...
SEC No-Action Letter: National Bank of Greece receives a limited exemption, with conditions, from...
The bank sought a limited exemption from Exchange Act Rule 102 of Regulation M for the distribution of ordinary shares of NBG in the form ...
FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online ...