SEC: Rulemaking

This is an SEC final rule from 2024 that could force some firms to register as dealers

"Today’s reforms improve disclosures about how SPAC shares may be diluted. This will provide investors with better information to evaluate the merits of de-SPAC transactions"

"The Commission lacks statutory authority to outright ban making investments in SPACs or becoming a reporting company via a de-SPAC transaction. Instead, it has resorted ...

"We cannot sacrifice the mechanisms, incentives, and protections that have been developed for nearly a century, because to do so would be to undermine the ...

"The Commission has failed to identify a problem in need of a regulatory solution"

"Today’s adoption will help ensure that the rules for SPACs are substantially aligned with those of traditional IPOs, enhancing investor protection through three areas: disclosure, ...

This SEC final rule amends the broker-dealer customer protection rule to permit margin required and on deposit with covered clearing agencies for U.S. Treasuries to ...

Here’s a snapshot of some of the regulatory developments slated to occur this year

Commission action aims at making the Treasury market more efficient, competitive, and resilient and improving risk management practices

These new rules and forms would create a regime for the registration and regulation of security-based swap execution facilities and address issues related to security-based ...