On February 5, 2024, the U.S. Securities and Exchange Commission ("SEC") adopted new rules – SEC Rules 3a5-4 and 3a44-2 (collectively, the "Final Rules") – to further define the phrase.
On Feb. 6, 2024, the US Securities and Exchange Commission ("SEC" or "Commission") adopted new Rules 3a5‑4 and 3a44‑2 (together, "Final Rules").
Securities and Exchange Commission Broadens Dealer Definition 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.