Request for No-Action Relief From Rule 602 of Regulation NMS Submitted In Connection With NYSE Area's Proposal To Establish A Retail Price Improvement Program.
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4) Effective Date: ...
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR) Implementation ...
SEC Approves New Supervision Rules Effective Date: December 1, 2014 ...
Statement at SEC Open Meeting Commissioner Daniel M. Gallagher Washington, D.C. March 12, 2014 Thank you Chair White. I would like to join my colleagues ...
Enhancing the Stability and Safety of Clearing Agencies Commissioner Luis A. Aguilar SEC Open MeetingWashington, D.C. March 12, 2014 About 40 years ago, Congress gave ...
LBG affiliates to continue to engage in these same specified transactions (or Market Activities) in LBG Ordinary Shares and LBG ADSs during the distribution of ...
The Relief concerns Exchange Act section 15(a)(1) and the reporting and other requirements specifically imposed by the Exchange Act, and the rules and regulations thereunder, ...
Gallagher: Remarks Given at the Institute of International Bankers 25th Annual Washington Conference
Remarks Given at the Institute of International Bankers 25th Annual Washington Conference Commissioner Daniel M. Gallagher U.S. Securities and Exchange Commission Washington, D.C. March 3, ...