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David Breyer

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House Financial Services Committee Urges SEC Withdrawal of 14 Proposed and Final Rules

On March 31, 2025, the U.S. House Financial Services Committee (Committee) penned a letter to acting Securities and Exchange Commission (SEC) Chair Mark Uyeda identifying 14 proposed and final rules that, according to the...more

4/9/2025  /  Capital Markets , Final Rules , Financial Regulatory Reform , Investment Adviser , Investment Management , Proposed Rules , Regulatory Reform , Regulatory Requirements , Rulemaking Process , Securities and Exchange Commission (SEC)

FINRA Proposes to Exempt BDCs from its IPO Purchase Restriction Rules

On March 20, 2025, the Financial Industry Regulatory Authority (FINRA) proposed amendments to its rules imposing restrictions on the purchase and sale of equity securities offered in initial public offerings (IPOs) (Rule...more

3/31/2025  /  Business Development Companies , Exemptions , Financial Industry Regulatory Authority (FINRA) , Initial Public Offering (IPO) , Investment , Proposed Amendments , Proposed Rules , Regulatory Requirements , Securities , Securities Regulation
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