(Click here for meetings with SEC officials)
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Nov. 20, 2020 | Wilson-Davis & Co., Inc. |
Sep. 3, 2020 | Timothy J. Cuddihy, Managing Director, DTCC Financial Risk Management |
Jul. 29, 2020 | James C. Snow, Chief Compliance Officer, Wilson-Davis & Co., Inc. |
Jul. 21, 2020 | Daniel Zinn, General Counsel, OTC Markets Group Inc. and Cass Sanford, Associate General Counsel, OTC Markets Group Inc. |
Jun. 30, 2020 | Kim Unger, CEO & Executive Director, The Security Traders Association of New York, Inc. |
Jun. 26, 2020 | Daniel Zinn, General Counsel, OTC Markets Group Inc. and Cass Sanford, Associate General Counsel, OTC Markets Group Inc. |
May 1, 2020 | James C. Snow, President/CCO, Wilson-Davis & Co., Inc. |
Apr. 30, 2020 | Charles Lek, Lek Securities Corporation |
Apr. 23, 2020 | John Busacca,
Founder, The Securities Industry Professional Association |
Apr. 21, 2020 | Alpine Securities Corporation |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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Nov. 12, 2020 | Memorandum from the Division of Trading and Markets regarding a November 12, 2020, conference call with representatives of OTC Markets Group Inc. |