March 30, 2017
On March 28, 2017, the Securities and Exchange Commission (“SEC”) issued a Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, by the Financial Industry Regulatory Authority (“FINRA”), relating to the Private Placement Filer Form (the “Filer Form”). SEC Release No. 34-80321.
March 28, 2017
On March 22, 2017, the Securities and Exchange Commission (“SEC”) adopted an amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934 (“Exchange Act”), shortening the standard settlement cycle (i.e., the length of time between trade execution and delivery of cash and securities to the seller and buyer) for…