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White & Case LLP

Rule 144A Fixed Income Securities Won’t Become Subject to Public Information Requirement under Rule 15c2-11

White & Case LLP on

On October 30, 2023, the US Securities Exchange Commission (the "SEC") issued an order (the "Order")1 granting broker-dealers exemptive relief from Rule 15c2-11 ("Rule 15c2-11") under the US Securities Exchange Act of 1934...more

Kramer Levin Naftalis & Frankel LLP

OCIE Warns That Investment Advisers and Broker-Dealers Are Putting Investor Information at Risk

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The SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert warning that investment advisers and broker-dealers “[do] not always use the available security features” on various network storage...more

Snell & Wilmer

New Cybersecurity Rules for Colorado Investment Advisers and Broker-Dealers

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Colorado has adopted new rules that add cybersecurity requirements for certain entities with Colorado securities licenses. The rules are from the regulatory agency the Division of Securities. It licenses securities...more

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