US SEC Adopts Rules on Definitions of “Dealer” and “Government ...

Final Rules: Changes to Definition of Dealer and Government ...

FACT SHEET | Final Rules: Changes to Definition of Dealer and Government Securities Dealer. U.S. SECURITIES AND EXCHANGE COMMISSION. PAGE 2 OF ...

US SEC Adopts Rules on Definitions of “Dealer” and “Government Securities Dealer”: Focus on Investment Advisers and Investment Companies.

SEC Adopts Rules to Include Certain Significant Market Participants ...

Absent an exemption or exception, if anyone trades in a manner consistent with de facto market making, it must register with us as a dealer – ...

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

The final rules are not the exclusive means of establishing that a person is a dealer or government securities dealer; otherwise applicable ...

U.S. SEC Expands Dealer Registration Requirements, Including to ...

Accordingly, the final date for firms to register as a dealer or government securities dealer as a result of the Rules should be mid-April 2025.

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

The Final Rules provide that no presumption arises that a person is not a dealer or government securities dealer solely because that person ...

What's the Deal? SEC Expands “Dealer” Definition | Winston & Strawn

... definition of a “dealer” and “government securities dealer” under the Securities Exchange Act of 1934, as amended (the “Exchange Act”). In short, the final ...

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

government securities only registers as a government securities dealer under section 15C, then that affected party will not incur CAT ...

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

The Securities and Exchange Commission (SEC) adopted new rules that expand the definition of “dealer” and “government securities dealer”

Understanding the SEC's New Rules on Dealer Definition

On February 6, 2024, the SEC released a final rule that significantly expands the definitions of “dealer” and “government securities dealer”

SEC Adopts Narrower Version of Dealer Registration Rules

... dealer” or “government securities dealer.”[1] Existing Definition Section 3(a)(5) of the Exchange Act generally defines a “dealer”[2] as ...

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 ...

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 ...

SEC Significantly Broadens "Dealer" Definition

Two new rules that significantly expand who may be required to register as a "dealer" or a "government securities dealer" were adopted by the Securities and ...

SEC Adopts Expanded Exchange Act Dealer Rules

The two qualitative factors adopted in the Final Rules explain that a party can be classified as a “dealer” if they (1) regularly express ...

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

The Commission stated in the Adopting Release that the Final Rules were designed to bring within the dealer definition proprietary trading firms ...

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 ...

SEC Adopts Rules Expanding the Definitions of “Dealer” and ...

On February 6, 2024, the Securities and Exchange Commission (the “SEC”) adopted amendments to the definitions of “dealer” and “government ...

SEC Adopts Rules to Expand Definitions of Dealer and Government ...

SEC Adopts Rules to Expand Definitions of Dealer and Government Securities Dealer · Get full access to this document with Practical Law · Why ...

The SEC Expands the Definition of Dealer - ACA Group

The Final Rules expand the definition of “dealer” and “government securities dealer” by incorporating two qualitative standards to establish whether an entity ...