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Amended Rules Securities Exchange Act of 1934 Broker-Dealer

Seward & Kissel LLP

SEC Adopts Rules Expanding the Definitions of “Dealer” and “Government Securities Dealer”

Seward & Kissel LLP on

On February 6, 2024, the Securities and Exchange Commission (the “SEC”) adopted amendments to the definitions of “dealer” and “government securities dealer” that would subject certain market participants acting as liquidity...more

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