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Investment Adviser › Securities Dealers › Securities Exchange Act of 1934

Jones Day

Who Needs Customers, Anyway? New SEC Rules Turn Traders Into Dealers

Jones Day on

The Securities and Exchange Commission (the "SEC" or "Commission") has adopted new rules that further define the phrase "part of a regular business" for purposes of determining whether a person is a "dealer" or "government...more

Hinckley Allen

SEC Adopts Changes to the Definition of “Dealer” and “Government Securities Dealer”

Hinckley Allen on

On February 6, 2024, the Securities and Exchange Commission (“SEC”) adopted final rules (the “Final Rules”) that will further define the phrase “as a part of a regular business” as used in the statutory definitions of...more

Wilson Sonsini Goodrich & Rosati

SEC Proposes Changes to the Definitions of “Dealer” and “Government Securities Dealer” Under the Securities Exchange Act

Wilson Sonsini Goodrich & Rosati on

The Rule Proposal Would Clarify Which Market Participants Are Engaged in Buying and Selling Securities for Their Own Account "as Part of a Regular Business" and Are Subject to Dealer Registration Requirements....more

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