SEC Open Meeting on Expanding the Definition of “Dealer”

The SEC has scheduled an open meeting for Wednesday January 31 at 9 am ET. At the meeting, “The Commission will consider whether to adopt new rules to further define the phrase ‘as a part of a regular business’ as used in the statutory definitions of the terms ‘dealer’ and ‘government securities dealer’ under the Securities Exchange Act of 1934, in connection with certain liquidity providers.” You can access the meeting from the SEC’s home page at the scheduled start time for the meeting.

© 2024 Financial Information Forum

Press enter to search
Press enter to search

Interested in joining us?

Download membership kit

Key Reasons to Join

  1. Stay informed on Current Regulatory and Market Initiatives
  2. Drive Industry Issues to Successful Resolution
  3. Impact the implementation timing and methodology of new rules
  4. Apply FIF Insight Within Your Firm