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The Royal Bank of Canada seeks an exemption from Rules 101 and 102 of Regulation M in connection with its proposed acquisition by RBC.
The firm gets an exemption from Rules 101 and 102 of Regulation M under the Securities Exchange Act of 1934 in connection with a proposed ...
SEC No-Action Letter: The Hongkong and Shanghai Banking Corporation Limited and HSBC Bank receive...
The requester asked that its Global Markets Divisions be permitted to continue to engage in derivative arbitrage and hedging activities, as well as stock borrowing ...
Sales of securities on a subscription-way basis at NYLIFE typically involve a NYLIFE representative meeting with a customer, recommending a security, assisting the customer in ...
The relief in this letter was due to expire Sept. 30, 2015. The topic relates to a broker-dealer's ability to obtain customer written consent prior ...
This action relates to a broker-dealer that effects repurchase transactions on behalf of their institutional customers. The B-D relies on electronic trade confirmations generated by ...
The Trust an exemption from Rule 101 of Regulation M to permit persons who may be deemed to be participating in a distribution of Shares ...