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SEC Dismisses Convertible Bond Dealer Suits

Summary by LexBlog
The SEC’s dismissal of recent “unregistered dealer” enforcement actions cements a scaling back of the dealer definition and reflects a policy shift from the prior SEC. By Zachary Fallon, John J. Sikora Jr., Stephen P. Wink, Naim Culhaci, Donald Thompson, and Deric Behar On May 22, 2025, the Securities and Exchange Commission (Commission or SEC) announced that it filed stipulations to completely dismiss with prejudice three civil enforcement acti…
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Global Financial Regulatory BlogGlobal Financial Regulatory Blog
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LexBlogLexBlog

SEC Dismisses Convertible Bond Dealer Suits

The SEC’s dismissal of recent “unregistered dealer” enforcement actions cements a scaling back of the dealer definition and reflects a policy shift from the prior SEC. By Zachary Fallon, John J. Sikora Jr., Stephen P. Wink, Naim Culhaci, Donald Thompson, and Deric Behar On May 22, 2025, the Securities and Exchange Commission (Commission or SEC) announced that it filed stipulations to completely dismiss with prejudice three civil enforcement acti…

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GlobesGlobes

CyberArk higher after raising $1.1b convertible bond

At the end of the first quarter, the cybersecurity company had $776 million in cash, and no debt.

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Globes broke the news in on Sunday, June 8, 2025.
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