- SEC Adopts Expanded Exchange Act Dealer Rules🔍
- Comment Letters Archive🔍
- SEC Proposes to Expand Interpretation of “Dealer” and ...🔍
- SEC Adopts New Rules Broadening Dealer Registration ...🔍
- blackrock|dealer|definition|letter.pdf🔍
- SEC Adopts New Rules That Will Require More Market Participants ...🔍
- Comment Letter on SEC Proposal to Exclude Certain Broker ...🔍
- Better Markets Supports SEC Proposal to Expand Definition of ...🔍
Comment Letter on SEC's Dealer Definition Proposal
SEC Adopts Expanded Exchange Act Dealer Rules
'”On February 6, 2024, the SEC adopted these rules, modifying Exchange Act Rules 3a5-4 and 3a44-2 to “further define the phrase 'as a part of a ...
Comment Letters Archive - NASAA
NASAA Comment Letter to the SEC Regarding Proposed Enhancements to the Broker-Dealer Customer Protection Rule S7-11-23 · Older posts >>. In This Section.
SEC Proposes to Expand Interpretation of “Dealer” and ...
If adopted, the proposed rules — Exchange Act Rule 3a5-4 and Exchange Rule 3a44-2 — would define the phrase “as part of a regular business” ...
SEC Adopts New Rules Broadening Dealer Registration ...
The Exchange Act does not define the phrase “regular business,” so courts and the SEC have historically looked to certain types of activities as ...
blackrock-dealer-definition-letter.pdf
Submitted via email to [email protected]. Re ... ICI's respective comment letters, we are concerned that the Proposal's definition of.
reviewing its guidance on the dealer definition, including no-action letters, to determine whether ... comment letter on the proposed rules.56.
Comment Letter on SEC Proposal to Exclude Certain Broker ...
The proposal will also ensure that investors who pay special compensation to a broker-dealer are alerted to the distinctions between the broker- ...
... Comment Letter on Equity Market ... proposed in the SEC's outstanding and recently reopened proposal to amend the definition of an.
Better Markets Supports SEC Proposal to Expand Definition of ...
Better Markets filed a comment letter in response to the proposal of ... broker-dealer and those of an exchange. The government ...
definition-letter.pdf; SEC, Comments on Further Definition of "As a Part of a Regular Business" in the. Definition of Dealer and Government ...
The SEC's Definition of a “Dealer” — End of the Road for DeFi, or ...
The Securities and Exchange Commission (SEC) adopted a new rule on February 6, 2024, further defining the phrase “as part of a regular business” ...
SEC Proposes Amendments to Rule 3b-16 - Jones Day
The SEC's proposals include broadly expanding the definition of an "exchange" and amending Regulation ATS.
Understanding SEC's Focus Amid Lack of Final AI Rules | Insights
Specifically, the rules as proposed require that broker-dealers and investment advisers: ... 8 See, e.g., Virtu Financial, Comment Letter on ...
S&C Publication: SEC Adopts Changes to Dealer Definition
SEC Adopts Changes to “Dealer” Definition with Modifications from the Proposal · The Rules Are Intended to Require Additional Market Participants ...
Comment letter on SEC proposal on conflicts of interest associated ...
Re: Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-. Dealers and Investment Advisers; File No.
US SEC adopts Treasury market dealer rule as market overhaul ...
In light of public comments, SEC officials said they substantially changed the proposed rule, including by scrapping a quantitative test under ...
U.S. - Affiliated Foreign Government Securities Broker-Dealers
We are forwarding the enclosed, an SEC Division of Market Regulation letter dated April 9, 1997, to Cleary, Gottlieb, Steen & Hamilton, to make you aware of the ...
SEC Issues Final Rule Related to Definitions of “Dealer” and ...
The SEC has released a final rule that amends the Securities Exchange Act of 1934 to broaden the scope of the definitions of “dealer” and “government ...
Davis Polk Discusses New SEC Rules on Definition of “Dealer”
On February 6, 2024, the SEC adopted by a 3-2 vote a set of final rules that “further define” terms used in the statutory definition of ...
New SEC rule may sweep DeFi participants into the definition of ...
The rule does not establish the exclusive means of determining whether a person is a securities dealer; existing SEC interpretations and precent ...