1 stories tagged #Hester M. Peirce

  1. SEC Clarifies Rule 15c2-11 Applies Only to Equity Securities
    finance

    SEC Clarifies Rule 15c2-11 Applies Only to Equity Securities

    The U.S. SEC clarifies that Rule 15c2-11 governs only equity securities, not crypto or fixed-income assets, bringing clarity to OTC markets and broker compliance.

    2mo ago 1 min read