Trading and Markets

In your letter dated January 5, 2015, you request assurances that the staff of the Division of Trading and Markets will not recommend enforcement action ...

This concerned an exemption from Rules 101 and 102 of Regulation M under the Securities Exchange Act of 1934 in connection with transactions by Santander ...

The issue is if the entity can escape the collection of best bid, best offer, and quotation sizes communicated by members of the Exchange under ...

The SEC grants the bank an exemption from Rules 101 and 102 of Regulation M to permit the Market-Making Subsidiary, the Trading Unit, the International ...

The SEC sees the social good that this non-profit can do via this letter that permits Social Finance to raise funds to help social service ...

Request for No-Action Relief under Rule 204 of Regulation SHO with respect to Certain Subsequent Trading Activity on a Close-Out Date.

You seek exemptive relief to permit UBS, UBS Group, and UBS's Affiliates and Departments, including UBS IB, UBS Wealth Management, UBS Global Asset Management, and ...

You also seek an exemption to permit certain Santander Spain affiliates to conduct specified transactions in the U.S. in Santander Spain Shares and Santander Spain ...

Order Granting a Limited Exemption from Rule 102(a) of Regulation M to Jones Lang LaSalle Income Property Trust Pursuant to Rule 102(e) of Regulation M.

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 ...