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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
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Securities and Exchange Commission Broadens Dealer Definition

Securities and Exchange Commission Broadens Dealer Definition
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Q4 2023 Asset Management Regulatory Update - Securities

On October 16, 2023, the Securities and Exchange Commission's (the "SEC" or the "Commission") Division of Examinations (the "Division") released its 2024 examination priorities (the "Priorities"). ....

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Statement On Adopting Changes To The Definition Of Dealer And Government Securities Dealer, SEC Commissioner Caroline A. Crenshaw, Feb. 6, 2024

Statement On Adopting Changes To The Definition Of Dealer And Government Securities Dealer, SEC Commissioner Caroline A. Crenshaw, Feb. 6, 2024
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