Derek Manners

Derek Manners

Dechert LLP

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SEC Finalizes Changes to Dealer Definition – Does Not Exempt Private Funds or Proprietary Trading Firms

At a contentious open meeting on February 6, 2024, the Securities and Exchange Commission (Commission) voted three to two to adopt rule amendments (Final Rules) under the Securities Exchange Act of 1934, as amended (Exchange...more

2/9/2024  /  Broker-Dealer , Final Rules , Private Funds , Proprietary Trading , Registered Investment Advisors , Registration Requirement , Regulatory Requirements , Securities and Exchange Commission (SEC) , Trading Platforms
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