John Sikora Jr.

John Sikora Jr.

Latham & Watkins LLP

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SEC Dismisses Convertible Bond Dealer Suits

The SEC’s dismissal of recent “unregistered dealer” enforcement actions cements a scaling back of the dealer definition and reflects a policy shift from the prior SEC....more

6/10/2025  /  Convertible Bonds , Dealers , Judicial Authority , Private Funds , Regulatory Reform , Securities and Exchange Commission (SEC) , Securities Exchange Act of 1934 , Securities Regulation , Unregistered Brokers , Vacated
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