Rule 15c2-12 Compliance Alert
This edition of the Hawkins Advisory is a compliance alert, supplementing the Hawkins Advisory regarding Rule 15c2-12 that is dated August 22, 2018.
Also of Interest
- Hawkins Attorneys are part of NABL’s SEC Rule 15c2-12 Working Group
Brian Garzione, Carol McCoog and Kenneth Roberts were part of the National Association of Bond Lawyers working group, that released the paper titled “SEC Rule 15c2-12 Amendments NABL Member Questions and Practical Considerations”.
- John M. McNally Receives the NABL’ s Kiel Distinguished Service Award
The National Association of Bond Lawyers (“NABL”) is honoring John M. McNally with the Frederick O. Kiel Distinguished Service Award.
- Implementing the Rule 15c2-12 Amendments
This Advisory summarizes guidance that the SEC staff has provided to date in public forums regarding the recent Rule 15c2-12 amendments.
- Hawkins Elects Alexis Harrington to Partner
Hawkins Delafield & Wood LLP is pleased to announce the election of Alexis Harrington to the partnership, effective January 1, 2019.