On October 30, 2023, the Securities and Exchange Commission (SEC) issued an order granting broker-dealers exemptive relief from Rule 15c2-11 of the Securities Exchange Act of 1934 for fixed-income securities sold in...more
11/16/2023
/ Asset-Backed Securities ,
Broker-Dealer ,
Debt Securities ,
Division of Trading and Markets ,
Enforcement Actions ,
Equity Securities ,
Exemptive Relief ,
Fixed Income Investments ,
Investors ,
Liquidity ,
Public Information ,
Regulation S ,
Rule 144A ,
Safe Harbors ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Trade Associations
On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) proposed to amend Rule 144 to revise the holding period determination for securities acquired upon conversion or exchange of certain “market adjustable...more
The Securities and Exchange Commission (SEC) recently adopted final rules that significantly revise the exempt offering framework, expanding access to capital markets for both issuers and investors. Key changes include the...more
11/16/2020
/ Crowdfunding ,
Exemptions ,
Final Rules ,
General Solicitation ,
Registration Requirement ,
Regulation A ,
Rule 152 ,
Safe Harbors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Testing-the-Waters Communications
On March 4, 2020, the Securities and Exchange Commission (SEC) announced proposed amendments to the exempt offering framework. The proposals target harmonization, simplification and improvement of the existing rules and...more