Maurine Bartlett

Cadwalader, Wickersham & Taft LLP

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SEC Exempts Brokers and Dealers from Rule 15c2-11 Review and Recordkeeping Requirements for Quotations on 144A Fixed Income...

On October 30, 2023, the Securities and Exchange Commission issued an order (the “Order”) that grants exemptive relief under Rule 15c2-11 under the Securities Exchange Act of 1934 to brokers and dealers that publish...more

11/7/2023 / Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , Fixed Income Investments , Investment Management , New Guidance , Recordkeeping Requirements , Rule 144A , Securities and Exchange Commission (SEC) , Securities Regulation

Rule 15c2-11 Update: The SEC Provides Temporary Relief for Fixed Income Rule 144A Securities Until January 4, 2025

The SEC’s Division of Trading and Markets issued a new no-action letter yesterday that removes the requirement that Rule 144A information be made publicly available prior to a broker-dealer publishing a quotation or...more

12/1/2022 / Broker-Dealer , Financial Services Industry , Fixed Income Investments , Investment Management , New Guidance , No-Action Letters , Relief Measures , Rule 144A , Securities and Exchange Commission (SEC) , Securities Regulation

Commission Interpretation – Standard of Conduct for Investment Advisers

The Securities and Exchange Commission (the “SEC”) on June 5, 2019 released an interpretation of the standard of conduct required by the Investment Advisers Act of 1940 (the “Advisers Act”) of investment advisers as...more

7/1/2019 / Best Interest Standard , Duty of Loyalty , Investment Adviser , Investment Management , Regulation Best Interest , Regulatory Standards , Rulemaking Process , Securities and Exchange Commission (SEC) , Securities Regulation , Standard of Conduct

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