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On Sept. 16, 2020, the Securities and Exchange Commission (SEC) adopted amended Rule 15c2-11 (the Amended Rule) under the Securities Exchange Act of 1934, as amended (the Exchange Act)....
SEC Division of Trading and Markets issued no-action letter yesterday that removes requirement that Rule 144A information be made publicly available prior to broker-dealer publishing a quotation or submitting a quotation for publication on a fixed income Rule 144A security.
The SEC’s Division of Trading and Markets issued a new no-action letter yesterday that removes the requirement that Rule 144A information be made publicly available prior to a...