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WilmerHale

SEC Adopts New Rules That Will Require More Market Participants to Register as Dealers

WilmerHale on

On February 6, 2024, by a vote of 3-2 along party lines, the Securities and Exchange Commission (the SEC or the Commission) adopted Rules 3a5-4 and 3a44-2 under the Securities Exchange Act of 1934 (the Exchange Act), which...more

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