James Van De Graaff
SEC Announces Creation of Office of Risk and Strategy
Corporate & Financial Weekly Digest ·
FINRA Requests Information Regarding Firm Culture and Values
Corporate & Financial Weekly Digest ·
Change to the No-Action Relief Regarding Definition of “Ready Market” With Regard to Foreign Equity Securities Pursuant to SEC Rule 15c3-1(c)(11)(i)
Corporate & Financial Weekly Digest ·
FINRA Regulatory Notice Regarding Private Placements and Public Offerings Subject to a Contingency
Corporate & Financial Weekly Digest ·
No-Action Relief Allows Broker-Dealers and OTC Derivatives Dealers to Submit Certain Reports Electronically
Corporate & Financial Weekly Digest ·