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

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

Further Definition of "As a Part of a Regular Business" in ... - SEC.gov

Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer · Public Comments · Overview.

Further Definition of “As a Part of a Regular ... - Federal Register

Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer. A Proposed Rule by the ...

Final rule: Further Definition of “As a Part of a Regular Business” in ...

§ 240.3a5-4 Further definition of “as a part of a regular business” in connection with certain liquidity providers. (a) A person that is ...

17 CFR 240.3a44-2 -- Further definition of “as a part of a ... - eCFR

(a) A person that is engaged in buying and selling government securities for its own account is engaged in such activity “as a part of a regular business” ...

SEC Adopts New Rules Expanding Definition of Dealers Required ...

... further define the phrase “as a part of a regular business” that is used in the definitions of “dealer” and “government securities dealer ...

Federal Rules: FURTHER DEFINITION OF 'AS A PART OF ...

Major Rule Report. Securities and Exchange Commission: Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government ...

Further Definition of "As a Part of a Regular Business" in the ... - SIFMA

Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer. Issue. SEC Rulemaking ...

Securities and Exchange Commission: Further Definition of "As a ...

Securities and Exchange Commission: Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government ...

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

... further define the phrase “as a part of a regular business” as used in the statutory definitions of “dealer” and “government securities ...

SEC Expands “Dealer” Definitions to Cover Significant Liquidity ...

... further defining the phrase “as a part of a regular business” as used in the statutory definitions of “dealer” and “government securities dealer

SEC Expands Dealer Definition to Increase Regulation of Liquidity ...

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

SEC Expands Dealer Definition to Capture Large Traders Regularly ...

... definitions of “dealer” and “government securities dealer” by further defining the phrase “as a part of a regular business.” In doing so ...

Further Definition of 'As a Part of a Regular Business' in the ...

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

SEC Expands Statutory Definition of “Dealer” and “Government ...

] for such person's own account, but not as a part of a regular business. ... extend[ing] beyond its statutory authority.” Further ...

SIFMA provides comments to SEC on Further Definition of "As a Part ...

Re: Further Definition of "As a Part of a Regular Business" in the. Definition of Dealer and Government Securities Dealer; File No. S7-. 12-22.

SEC Finalizes Changes to Dealer Definition – Does Not Exempt ...

Securities Dealer, Release No. 34-99477 (Feb. 6, 2024) (Adopting Release). Further Definition of “As a Part of a Regular Business” in the ...

SEC Expands "Dealer" Definition to Capture Liquidity Providers | HUB

... as a part of a regular business” in those definitions. The Final ... Further, she raised serious implementation challenges, including ...

SEC Proposes Significant Expansion of Firms That Must Register as ...

... as a part of a regular business.”4 This statutory exclusion from the ... Further Definition of “As Part of a Regular Business”. The ...

SEC Proposes Rules to Clarify Dealer-Trader Distinction - Jones Day

The SEC's proposed new rules would further define the phrase "as a part of a regular business ... There is no definition of "primarily" or ...