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SEC Adopts Rules To Require Registration Of Certain Persons Engaging In Liquidity-Providing Activities As

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...

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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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Securities and Exchange Commission Broadens Dealer Definition

Securities and Exchange Commission Broadens Dealer Definition
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