Matthew Biben

Matthew Biben

King & Spalding

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SEC Adopts Rules Requiring Certain Trading Entities, Including Certain Investment Advisers and Private Funds, to Register as...

Section 3(a)(5) of the Securities Exchange Act of 1934, as amended (the “Securities Exchange Act”) defines a “dealer” as “any person engaged in the business of buying and selling securities […] for such person’s own account...more

2/12/2024  /  Anti-Avoidance , Broker-Dealer , Investment Adviser , Liquidity , New Rules , Private Funds , Securities and Exchange Commission (SEC) , Securities Exchange Act of 1934
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