Petition Rule

Rulemaking petition to amend Rule 15c2-11 to expressly exempt from Rule 15c2-11 fixed-income securities that satisfy the requirements of Rule 144A; or, in the alternative, expressly exempt Rule 144A securities from Rule 15c2-11 pursuant to the exemptive authority set forth in Rule 15c2-11(g).

Public Comments

View Received Comments

Title
Order Granting Broker-Dealers Exemptive Relief, Pursuant to Section 36(a) and Rule 15c2-11(g) under the Securities Exchange Act of 1934, from Rule 15c2-11 for Fixed-Income Securities Sold in Compliance with the Safe Harbor of Rule 144A under the Securitie
Release Number
34-98819
SEC Issue Date
Federal Register Publish Date

Resources

Exemptive Rule: SEC Issued Version (pdf 154.82 KB)
Rulemaking Petition

Last Reviewed or Updated: Oct. 30, 2023