On August 15, 2018, the Securities and Exchange Commission adopted amendments to Rule 15c2-12 promulgated under the Securities Exchange Act of 1934 (the “Rule”). The Rule, among other things, requires brokers, dealers, and...more
The Securities and Exchange Commission (SEC) has extended the deadline for issuers and obligors to self-report potential violations of their continuing disclosure obligations from the original deadline of September 10, 2014...more