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SEC Rules 3a5-4 And 3a44-2 Requiring Registration Of Liquidity-Providing Persons As
On February 6, 2024, the Securities and Exchange Commission ("SEC") adopted Rules 3a5-4 and 3a44-2 ("Final Rules") defining the phrase "as a part of a regular business" and identifying.
Exchange commission
Investment company
Exchange act release no
Securities exchange
What are
New rules
Securities exchange act
Final rules apply
Requirements under
Final rules
Anyone excluded from
Are the final rules effective
Securities dealer
Certain liquidity
Exchange act release
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