- Comments on Further Definition of "As a Part of a Regular ...🔍
- Comment Letter on SEC's Dealer Definition Proposal🔍
- FIA PTG responds to SEC Dealer Definition Proposal🔍
- Virtu Comment Letter on SEC's Dealer Definition Proposal🔍
- MFA Submits Comment Letter to the SEC on its Proposed Rules to ...🔍
- SIFMA AMG provided comments on SEC “Dealers” Proposal🔍
- 1 October 19🔍
- Further Definition of “As a Part of a Regular Business” in the ...🔍
Comment Letter on SEC's Dealer Definition Proposal
Comments on Further Definition of "As a Part of a Regular ... - SEC.gov
Comments on further definition of "as a part of a regular business" in the definition of dealer and government securities dealer.
The Blockchain Association submits this letter in response to the request for comments by the US Securities and Exchange Commission (“SEC”) with respect to ...
FIA PTG responds to SEC Dealer Definition Proposal
In a letter filed with the Securities and Exchange Commission (SEC) today, the FIA Principal Traders Group strongly opposed the SEC's Further Definition of ...
1 (“Virtu”) respectfully submits this letter in response to the above- referenced rule proposal issued by the Securities and Exchange Commission ...
June 23, 2022 Ms. Vanessa Countryman Secretary Securities ... - finra
“SEC”) proposal to further define “dealer” and “government securities dealer” under the. Securities Exchange Act of 1934 (the “Exchange Act ...
MFA Submits Comment Letter to the SEC on its Proposed Rules to ...
MFA Submits Comment Letter to the SEC on its Proposed Rules to Expand the Definition of “Dealer” and “Government Securities Dealer” · Share ...
government securities dealer in Exchange Act Section 3(a)(44) are effectively the same, this comment letter like the. Proposal will refer to ...
The Proposal exceeds the SEC's statutory authority and departs from past practice. ... definition of dealer refers to “buying and selling” ...
Further Definition of “As a Part of a Regular Business” in the ...
The Securities and Exchange Commission ("SEC" or "Commission") is adopting new rules to further define the phrase "as a part of a regular ...
Comment Letters Submitted by FINRA | FINRA.org
4/19/07 – NASD Comment Letter to SEC regarding File No. S7-22-06, Definition of Terms and Exemptions Relating to the "Broker" Exceptions for Banks. 2/16/06 – ...
... Definition of Dealer and Government Securities Dealer, File No. ... This letter is a comment to the Securities and Exchange Commission (SEC) on ...
ADAM Comment Letter Regarding SEC Proposal to Define the ...
1. The blanket application of the dealer and government securities dealer regulatory framework to digital assets would be premature and ...
SEC Proposal to Redefine the Definition of 'Dealer' Would Cover ...
SEC Proposal to Redefine the Definition of 'Dealer' Would Cover Certain Private Funds and Private Fund Advisers · Proposed Rule 3a5-4 · “Dealer ...
This letter supplements our overall comments on the Proposing Release, which ... falls within the expanded “dealer” definition due to the Proposed ...
SEC Expands "Dealer" Definition to Capture Liquidity Providers | HUB
The Final Rules significantly expand the definitions of a “dealer” and “government securities dealer” by defining the phrase “as a part of a ...
US SEC Adopts Rules on Definitions of “Dealer” and “Government ...
... proposing the SEC's new dealer rules (Proposing Release) provide ... The SEC cited a comment letter that suggested that the SEC should ...
Further Definition of “As a Part of a Regular ... - Federal Register
The Securities and Exchange Commission ("Commission") is proposing new rules to further define the phrase "as a part of a regular business" ...
MFA submits supplemental comment letter on dealer proposal
The Managed Funds Association (MFA) has submitted comments to the Securities and Exchange Commission (SEC) regarding the proposed rulemaking ...
Comment Letters – VIRTU Financial Inc.
Virtu Comment Letter on SEC's Proposed SPAC Rules. May 27, 2022. Virtu Comment Letter on SEC's Dealer Definition Proposal. May 11, 2022. Virtu Comment Letter on ...
The Managed Funds Association, for example, submitted seven comment letters with the SEC and met frequently with agency staff in the lead up to ...