A Renewed Perspective on SEC Priorities Commissioner Daniel M. Gallagher Forum for Corporate Directors, Orange County, California Jan. 24, 2014 Thank you, Chris [Cox], for ...
This is a final rule issued by the SEC in early 2014 to extend the deadline for municipal advisors to register until July 2014.
The Philosophies of Capital Requirements Commissioner Daniel M. Gallagher Washington, DC Jan. 15, 2014 Thank you, Sarah [Kelsey, Exchequer Club Secretary], for that introduction. I’m ...
Statement on the Commission�s Issuance of Certain Exemptive Orders Related to Rule 17g-5(c)(1) Commissioner Luis A. Aguilar U.S. Securities and Exchange Commission[1] Jan. 8, 2014 ...
2014 Annual Audit, FOCUS, Form Custody, Supplemental Statement of Income (SSOI) and Off-Balance Sheet (OBS) Report Filing Due Dates
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches ...
Remarks at the 2014 Municipal Finance Conference presented by The Bond Buyer and Brandeis International Business School
Statement of Commissioner Daniel M. Gallagher Regarding the Removal of Certain References to Credit Ratings Under the Securities and Exchange Act of 1934 and the ...