An SEC final rule expanding the definition of "broker-dealer" under the Securities Exchange Act was published in the Federal Register.
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A cryptocurrency exchange settled charges for failing to register with the SEC as a "dealer" in securities.
The SEC adopted two new rules requiring certain market participants that "play an increasingly significant liquidity providing role," to register with the SEC as broker-dealers or as government securities broker-dealers under the Securities Exchange Act.
The SEC adopted two new rules under the Securities Exchange Act to further define the term "as a part of a regular business." The new rules expand the scope of firms that are required to register as broker-dealers and as government securities broker-dealers.
A convertible note financing business and its owners settled SEC charges for failing to register as a securities dealer.