Chief counsel division of trading and markets
WebThe Division’s role is to effectively and efficiently ensure the fulfillment of the Commission’s mission through continued success in continuity of operations, while providing the … WebApr 5, 2013 · The staff has been considering a wide spectrum of options for certain of these market participants, ranging from potential recommendations for exemptions to working …
Chief counsel division of trading and markets
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WebDuring his two years at the SEC, George drafted proposed rules and SEC adopting releases on corporate governance, listing standards, and … WebInterim Global CEO of BrokerTec, the market-dominant electronic trading platform for US Treasuries and European Government Bonds, Chief Corporate Development Officer of Nex Optimisation (fka...
Web14 hours ago · Andrew Chapin, Associate Chief Counsel, Market Participants Division, Commodity Futures Trading Commission, (202) 418–5465, email: [email protected]. SUPPLEMENTARY INFORMATION: Under the PRA, 44 U.S.C. 3501 et seq., Federal agencies must obtain approval from the Office of Management and Budget (OMB) for … Web5 hours ago · Apr 14, 202402:38 PDT California-based Wedbush Securities, a financial services provider, has named Matt Lisle its new Chief Compliance Officer for its Futures division. He will be based in the Chicago office of Wedbush and report directly to Andrew Druch, General Counsel of the company. New Chief Compliance Officer at Wedbush …
WebPresident and Chief Executive Officer. Robert W. Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation. From 2010 to 2013, Mr. … WebMar 20, 2024 · Trading and Markets. The Division of Trading and Markets establishes and maintains standards for fair, orderly, and efficient markets. The Division regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, FINRA, and clearing agencies), and transfer agents.
WebThe chief counsel for the division provides legal and policy advice to the SEC on matters affecting broker-dealers and securities markets. The person in that position also issues …
radio kfc rj huntWebApr 6, 2024 · The Chief Counsel’s Office (CCO) provides assistance to the Division, the Commission, and the public interpreting the Investment Company Act of 1940 (Investment Company Act), the Investment Advisers Act of 1940 (Advisers Act), their related rules, and other federal securities laws that apply to investment companies and investment advisers. radio kevelaerWebDuring his career, Sheldon served as senior vice president and general counsel for SUPERVALU, one of the nation’s largest food distributors, and vice president and senior legal counsel for Medtronic Spine, a division of Medtronic, Inc. Prior to moving in-house Sheldon practiced corporate and securities law at the Chicago law firms of Chapman ... radio kfor srpskiWeb5 hours ago · The company also hired several former Jefferies executives. California-based Wedbush Securities, a financial services provider, has named Matt Lisle its new Chief … dragon321WebBranch Chief, Office of Chief Counsel, Division of Trading and Markets at U.S. Securities and Exchange Commission Washington, District of Columbia, United States 832 followers 500+ connections radio kfcWebDivision ofTrading and Markets Securities and Exchange Commission Page 3 significantly smaller than the expected offer size ofthe Proposed Global Offering. In contrast, it is anticipated that the gross proceeds of the Proposed Global Offering will be … radio kfi 640WebAs ICE’s Chief Regulatory Officer, King oversees the company’s global regulatory and government affairs initiatives. Prior to 2024, King was General Counsel and Corporate … radio kfm live