Dylan Caffrey

Dylan Caffrey

Katten Muchin Rosenman LLP

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SEC Delays Enforcement of Rule 15c2-11 Compliance

In 2021, the Securities and Exchange Commission (SEC) took the industry off-guard by announcing its new position that Rule 15c2-11 of the Securities Exchange Act of 1934 (Rule) and its amendments apply to fixed-income...more

2/1/2023  /  Enforcement Actions , Financial Services Industry , Investors , Retail Investors , Securities , Securities and Exchange Commission (SEC) , Securities Exchange Act of 1934
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