- SEC Adopts Rules to Include Certain Significant Market Participants ...🔍
- SEC Adopts New Rules That Will Require More Market Participants ...🔍
- SEC Adopts New Rules Expanding Definition of Dealers Required ...🔍
- SEC Adopts New Rules Broadening Dealer Registration ...🔍
- S&C Publication🔍
- SEC Adopts Rules to Require Registration of Certain Persons ...🔍
- SEC Adopts New Dealer Rules to Capture Liquidity Providers🔍
- SEC Adopts Rule Amendments Requiring Increased Disclosure of ...🔍
SEC Adopts New Rules That Will Require More Market Participants ...
SEC Adopts Rules to Include Certain Significant Market Participants ...
“I am pleased to support this adoption because it requires that firms that act like dealers register with the Commission as dealers, thereby ...
SEC Adopts New Rules That Will Require More Market Participants ...
The SEC adopted new rules under the Exchange Act, which will significantly expand definitions to cover additional market participants.
SEC Adopts New Rules Expanding Definition of Dealers Required ...
On February 6, 2024, the SEC adopted new Rules 3a5-4 and 3a44-2 under the Securities Exchange Act of 1934 that further define the phrase “as a part of a ...
§ 78c(a)(44) (emphasis added). Page 2. WilmerHale | SEC Adopts New Rules That Will Require More Market Participants to Register as Dealers. 2.
SEC Adopts New Rules Broadening Dealer Registration ...
SEC Adopts New Rules Broadening Dealer Registration Requirements: Private Funds, Principal Trading Firms, and Investment Advisers Take Note.
S&C Publication: SEC Adopts Changes to Dealer Definition
The rules are intended to require additional market participants, including certain proprietary trading firms, private funds and investment advisers, to ...
SEC Adopts Rules to Require Registration of Certain Persons ...
The Final Rules set forth two qualitative factors that subject market participants taking on significant liquidity-providing roles, which the SEC construes to ...
SEC Adopts New Dealer Rules to Capture Liquidity Providers
The Final Rules principally could capture certain proprietary trading firms, some private funds, and other market participants.
SEC Adopts Rule Amendments Requiring Increased Disclosure of ...
On October 13, 2023, the U.S. Securities and Exchange Commission (SEC) approved final rules requiring increased disclosure of · The pair of new ...
SEC Adopts Rules to Require Registration of Certain Persons ...
The Final Rules set forth two qualitative factors that subject market participants taking on significant liquidity-providing roles, which the ...
SEC Adopts Rule Amendments and New Rule to Improve Risk ...
The rule amendments establish new requirements regarding a covered clearing agency's collection of intraday margin as well as a covered clearing ...
US SEC adopts Treasury market dealer rule as market overhaul ...
The U.S. securities regulator on Tuesday adopted a rule requiring proprietary traders and other firms that routinely deal in government ...
U.S. SEC Expands Dealer Registration Requirements, Including to ...
On February 6, 2024, in a 3–2 vote along party lines, the U.S. Securities and Exchange Commission (SEC) adopted rules that further define ...
Who Needs Customers, Anyway? New SEC Rules Turn Traders Into ...
The SEC's New Rules On February 6, 2024, the SEC published a release (the "Adopting Release") adopting new rules further defining certain ...
SEC Adopts Expanded Exchange Act Dealer Rules
... SEC proposed rules to include “any market participant that ... rules would create even more ambiguity regarding registration requirements.
SEC adopts final rule to redefine securities dealers
The adopted rules will further define what it means to ... markets — are now required to register with the SEC. These participants will need ...
The Next Market Structure Rule Arrives: SEC Adopts New Minimum ...
Alongside the fee cap, the SEC has also adopted a rule requiring all exchange fees and rebates to be determinable at the time of execution. This ...
SEC adopts new rules requiring more market participants to register ...
As expected, the Securities and Exchange Commission adopted two rules that will require market participants who engage in certain dealer roles — especially ...
Final Rules: Changes to Definition of Dealer and Government ...
6, 2024, the Securities and Exchange Commission adopted final rules that require market participants that take on significant liquidity- ...
SEC Adopts Changes to the Definition of “Dealer” and “Government ...
The Final Rules address various concerns raised during the comment period on the Proposed Rules and are intended to require only entities ...