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SEC Exempts Brokers and Dealers from Rule 15c2-11 Review and
SEC Exempts Brokers and Dealers from Rule 15c2-11 Review and
SEC Exempts Brokers and Dealers from Rule 15c2-11 Review and Recordkeeping Requirements for Quotations on 144A Fixed Income Securities | Cadwalader, Wickersham & Taft LLP
On October 30, 2023, the Securities and Exchange Commission issued an order (the “Order”) that grants exemptive relief under Rule 15c2-11 under the Securities Exchange Act of 1934 to...
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