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The Rule Proposal Would Clarify Which Market Participants Are Engaged in Buying and Selling Securities for Their Own Account "as Part of a Regular Business" and Are Subject to Dealer Registration Requirements
The U.S. Securities and Exchange Commission (SEC) recently proposed a new rule1 (the Proposal) which could require a diverse range of market participants to register as dealers,2 including a…
The Rule Proposal Would Clarify Which Market Participants Are Engaged in Buying and Selling Securities for Their Own Account "as Part of a Regular Business" and Are Subject to Dealer.
RENO, Nevada – Antique bottle and glass enthusiasts will want to mark their calendars for Thursday to Sunday, July 28th through July 31st. That’s when the Federation of Historical Bottle .
Katten highlights key noteworthy developments potentially affecting financial markets and funds such as: sec's move to regulate private funds, 2022 examination priorities, sec and defi regulations, employee monitoring, and the cftc and retail markets.