JD Supra

SEC Grants Broker-Dealers Permanent Exemptive Relief From Rule 15c2-11 for Fixed-Income Securities Sold Under Rule 144A Safe Harbor

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 ...
The Bond Buyer

SEC issues fixed income relief for Rule 15c2-11

The Securities and Exchange Commission has issued exemptive relief for 144A eligible fixed income participants under its Rule 15c2-11, which may impact the edges of the municipal market. Processing ...
Bloomberg L.P.

Fixed income quotation: SEC extends 15c2-11 relief, again

For broker dealers who were dreading the full implementation of the Fixed Income Quotation rule, SEC rule 15c2-11, staff once again granted relief. On November 22, 2024, fixed income broker-dealers ...
Traders Magazine

SIFMA Statement on Issuance of Revised No-Action Relief for SEC Rule 15c2-11

Washington, DC, November 22, 2024 – SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr. on the issuance of revised no-action relief for SEC Rule 15c2-11: ...
JD Supra

Rule 15c2-11 Relief for Fixed Income Securities

Broker-dealers had been preparing for the sunset of the prior time-based relief that the staff of the Securities and Exchange Commission provided in respect of compliance with Rule 15c2-11 as to ...