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Expert Analysis

Parsing SEC's Rule Extension For Fixed-Income Issuers

By J. Alan Bannister, Hillary Holmes and James Moloney ( December 5, 2022, 2:33 PM EST) -- Following the U. S. Securities and Exchange Commission's recent interpretation of Rule 15c2-11 under the Securities Exchange Act, issuers of fixed-income securities, including those initially offered and sold to investors in reliance on registration exemptions under the Securities Act — most notably Rule 144A — will be required to publicly disclose specified current financial and other information in order to allow U. S. -regulated broker-dealers to publish quotations on such securities. . . .

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