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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; ...
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 ...
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.
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, ...
will not recommend enforcement action to the Commission if a broker-dealer includes cash held in a reserve account at a non-affiliated U.S. branch of a ...
SIFMA persuaded the agency because "it will be unfeasibly difficult and expensive for broker-dealers to implement procedures and controls and make necessary technology changes to ...
This letter follows on a controversial stance by the SEC that holds that some private equity firms should have to register as broker-dealers because they ...