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 ...
During Bloomberg’s virtual Risk and Reg Week event, Jason Palsgrove, Product Manager, Enterprise Regulatory Content at Bloomberg spoke with Audrey Blater, Senior Analyst, Risk and Financial Markets ...
In a long-anticipated development, the Securities and Exchange Commission (the “SEC”) has proposed amendments to Rule 15c2-11 (the “Rule”) under the Securities Exchange Act of 1934 to clarify that the ...
Some results have been hidden because they may be inaccessible to you
Show inaccessible results