In late March, a finance committee of the US Congress recommended that the Securities and Exchange Commission (SEC) “revisit” 14 final rules that “made the US capital markets less attractive to existing and potential public companies”, with 10c1-a and 13f-2 on the chopping block. We take a look at the industry response and hear from Guylaine Charles, founder of Charles Law PLLC, about the legal context that securities finance market participants should be aware of.
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