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Remarks at the 46th Annual Rocky Mountain Securities Conference Commissioner Daniel M. Gallagher Denver, CO May 9, 2014 Thank you, Julie [Lutz], for that kind ...
Statement on the Matter of John W. Lawton
Statement on WKSI Waivers Commissioner Daniel M. Gallagher April 29, 2014 In 2005, the Commission adopted a package of new rules referred to as “Securities ...
Joint Statement on the Conflict Minerals Decision Commissioners Daniel M. Gallagher and Michael S. Piwowar April 28, 2014 On April 14, 2014, the D.C. Circuit ...
Looking at Corporate Governance from the Investor�s Perspective Commissioner Luis A. Aguilar Emory University School of Law, Corporate Governance Lecture Series, Atlanta, Georgia April 21, ...
Closing Remarks at the SEC's 24th Annual International Institute for Market Development Commissioner Daniel M. Gallagher Washington, D.C. April 16, 2014 Thank you, ...
NASAA and the SEC: Presenting a United Front to Protect Investors Commissioner Luis A. Aguilar North American Securities Administrators AssociationAnnual NASAA/SEC 19(d) ConferenceWashington, D.C. April ...
Remarks Before the SEC / Academy of Finance Shadowing Program Commissioner Daniel M. Gallagher Washington, D.C. April 3, 2014 Thank you, Tyler [Kirk], for that ...
The Commission is also committed to considering the appropriate next steps on the investment adviser and broker-dealer initiative. Section 913 of the Dodd-Frank Act granted ...
Taking an Informed Approach to Issues Facing the Mutual Fund Industry Commissioner Luis A. Aguilar Washington, DC April 2, 2014 Good afternoon. Thank you for ...