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SEC Targets Certain Proprietary Trading Firms And Private Funds With Expanded

On Feb. 6, 2024, the US Securities and Exchange Commission ("SEC" or "Commission") adopted new Rules 3a5‑4 and 3a44‑2 (together, "Final Rules"). ....

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SEC Expands Definition of "Dealer" to Capture Liquidity Providers

SEC Expands Definition of "Dealer" to Capture Liquidity Providers
natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.

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The Sabarkantha Jilla Sahkari Dudh ... vs The Vasana (Khed) Dudh Utpadak Sahkari ... on 23 February, 2024

The Sabarkantha Jilla Sahkari Dudh ... vs The Vasana (Khed) Dudh Utpadak Sahkari ... on 23 February, 2024
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2024 Investment Adviser Compliance Calendar - Securities

SEC-registered investment advisers are subject to an array of reporting and compliance obligations in order to maintain registered investment adviser status. ....

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SEC Expands Dealer Definition To Capture Large Traders Regularly Providing Liquidity To The Markets - Securities

On February 6, 2024, the SEC adopted rules to greatly expand the Exchange Act definitions of "dealer" and "government securities dealer" by further defining the phrase "as a part of a regular business." ....

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