Further Definition of “As a Part of a Regular Business” in the ...

SEC's Final Dealer Rule is Met with Criticism - Markets Media

[1] : Statement on Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer in ...

Comment Letter on SEC's Dealer Definition Proposal - Final.docx

Further Definition of “As a Part of a Regular Business” in the Definition of. Dealer and Government Securities Dealer [Release No. 34-94524; File No. S7-12 ...

SEC.gov | Dealer, No Dealer?[1] : Statement on Further Definition of ...

individually or in a fiduciary capacity, but not as a part of a regular business.”[3] Nearly any firm in the financial markets that trades securities as a ...

Further definition of "as a part of a regular business" in ... - Casetext

Section 240.3a44-2 - Further definition of "as a part of a regular business" in connection with certain liquidity providers (a) A person that is engaged in ...

FIA PTG responds to SEC Dealer Definition Proposal

The FIA Principal Traders Group strongly opposed the SEC's Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government ...

the us treasury market: - 2024 staff progress report

6 See Securities and Exchange Commission, “Further Definition of 'As a Part of a Regular Business' in the. Definition of Dealer and Government ...

SEC Enforcement: Balancing Deterrence with Due Process

... Further Definition of 'As a Part of a Regular Business' in the Definition of Dealer and Government Securities Dealer in Connection With Certain Liquidity ...

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

... as a part of a regular business." This longstanding exclusion—known as the dealer/trader distinction—has historically been relied upon by ...

United States District Court - Committee on Capital Markets Regulation

See Further Definition of ''As a Part of a Regular Business'' in the. Definition of Dealer and Government Securities Dealer in Connection With ...

SEC Proposes Changes to Broaden the Definitions of Dealer and ...

The Proposed Rules add new Rules 3a5-4 and 3a44-2 under the Exchange Act, which further define “as a part of a regular business” for purposes of ...

B-336086, Securities and Exchange Commission - LegiStorm

rule promulgated by the Securities and Exchange Commission (SEC) entitled “Further Definition of 'As a Part of a Regular Business' in the ...

sec-adopts-expanded-exchange-act-dealer-rules-what-do-the-new ...

[16] Compare Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and. Government Securities Dealer in ...

SEC Plans to Finalize Two Dozen Rules in 2023

34 -94524, Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer. 8 Rules ...

THE JOURNAL OF FEDERAL AGENCY ACTION - NET

was defined to mean that “a person must express trading interests more ... further-definition-of-as-a-part-of-a-regular-business-in-the-definition-of ...

Buy-side associations file lawsuit against US SEC to vacate Dealer ...

Adopted in February, the rules will further define what it means ... as a part of a regular business”. It will do so for both dealers and ...

blackrock-dealer-definition-letter.pdf

“Commission”) proposed rule Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer ...

SEC Adopts Rules To Require Registration Of Certain Persons ...

Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer in Connection with ...

Comment Letters Submitted by FINRA | FINRA.org

S7-12-22 – Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer. 6/22/22 – FINRA Comment ...

Client Alert: Court Adopts SEC's New Unregistered Dealer Theory ...

for such person's own account,” but exempts from that definition those who buy and sell securities “not as a part of a regular business.” ...

240.0 — Rules of General Application | DART

240.3a5-4 — Further definition of “as a part of a regular business” in connection with certain liquidity providers. Footnotes. Rules of General Application ...