Charles Dolan, Author at Global Markets Advisory Group

GMAG to Provide IPO Advisory Services

[et_pb_section][et_pb_row][et_pb_column type="4_4"][et_pb_text admin_label="Text" background_layout="light" text_orientation="left" use_border_color="off" border_color="#ffffff" border_style="solid"] Global Markets Advisory Group is proud to announce that it has been retained to assist an Asian company in the exploration of the Initial Public Offering process in the United States. GMAG will leverage its vast expertise to provide the following services: Introductions to Investment Bankers Management [...]

By Charles Dolan|2016-04-05T15:30:32-04:00April 5th, 2016|Global General Information|

Pre-STANY Cocktail Party with Google: April 6th

Google Cloud Platform and STANY are hosting a cocktail reception with a panel discussion the night prior to STANY's annual conference in New York. The panelists from top industry firms will discuss the impact of the Consolidated Audit Trail (CAT) on the trading and financial services community. You'll also meet the top technologists from Google [...]

By Charles Dolan|2016-04-04T18:41:52-04:00April 4th, 2016|Consolidated Audit Trail|

GMAG Retained by FIS to serve in an Advisory Capacity to the FIS CAT TEAM

Global Markets Advisory Group (“GMAG”) is proud to announce that it will be serving in an advisory capacity to FIS working with their Consolidated Audit Trail (CAT) bid team, led by Neil Palmer, CTO, FIS Advanced Technology. FIS is one of three shortlisted bidders. GMAG has been working with FIS since October 2015 and has [...]

By Charles Dolan|2016-03-09T18:32:45-05:00March 9th, 2016|Consolidated Audit Trail|

The CAT NMS Plan Overview of the SEC-Mandated Consolidated Audit Trail Project

What is the Consolidated Audit Trail? The SEC, FINRA and the exchanges currently rely on ad hoc aggregation of disparate sources of information to conduct market oversight, investigation and enforcement. The CAT will collect daily order and trade data for equities and options, across all trading venues, into a single database. Data will be submitted [...]

By Charles Dolan|2016-03-08T13:42:15-05:00March 8th, 2016|Consolidated Audit Trail|

Letter about Consolidated Audit Trail to CAT Bid Team from Daniel M. Labovitz

On March 1, 2016, the Securities and Exchange Commission issued its Order Granting Exemptions from Certain Provisions of Rule 613 Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 (the “Exemption Order”). Click here to read the letter about CAT.

By Charles Dolan|2016-03-04T21:47:03-05:00March 4th, 2016|Consolidated Audit Trail|

NYIF Partners with GMAG

NYIF Partners with Exchange Experts to Advise Emerging and Frontier Markets January 19, 2016 09:15 AM Eastern Standard Time NEW YORK--(BUSINESS WIRE)--The New York Institute of Finance announced today that it is partnering with the Global Markets Advisory Group to offer comprehensive consulting services to financial regulators, exchange operators and market participants in emerging and [...]

By Charles Dolan|2016-01-19T16:08:00-05:00January 19th, 2016|Emerging and Frontier Markets|

2016 FINRA Regulatory and Examination Priorities Letter

Last week FINRA published its 2016 Regulatory and Examination Priorities Letter. As in past years, FINRA identified recurring issues as well as new areas that broker-dealers should focus on as part of their regulatory due diligence. This year’s letter is no exception, as examiners will assess supervision, risk management and controls in areas that include: [...]

By Charles Dolan|2016-01-14T15:20:41-05:00January 14th, 2016|Uncategorized|

August 24th Opening Explained

I thought it would be helpful to explain the opening process at the NYSE as it relates to Rule 48, Rule 15, and Rule 123 (d). These are rules which govern the opening of stocks with respect to dislocation from the last sale and the dissemination of that information. They were enacted to provide transparency [...]

By Charles Dolan|2016-01-12T16:59:14-05:00January 12th, 2016|NYSE Opening|

About Charles Dolan