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SEC Adopts Amendments to Remove References to Credit Ratings from Regulation M | Insights

SEC Adopts Amendments to Remove References to Credit Ratings from Regulation M | Insights
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SEC Amends References Rule on Credit Ratings Under Regulation M

The Securities and Exchange Commission adopted rule changes to remove references to credit ratings from existing exceptions under Regulation M. The SEC adopted a record preservation requirement for broker-dealers utilizing the new exceptions for nonconvertible securities. ....

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SEC Proposes To Remove Credit Ratings References From Regulation M - Consumer Protection

Regulation M is intended to limit the activities of certain participants in a distribution, which activities may have a manipulative effect on the market for the offered security. ....

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