Comment Deadline Set for SEC Proposal to Expand "Dealer" Registration Requirement
Comments must be submitted to the SEC on or before May 27, 2022 for an SEC proposal to further define the phrase "as part of a regular business" used in SEA Sections 3(a)(5) ("Definitions and application - Dealer") and 3(a)(44) ("Government Securities Dealer"). See prior coverage.
The proposal was published in the Federal Register.
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The SEC proposed two new rules that would further define the phrase "as part of a regular business" found in Securities Exchange Act regulations on "dealers" and "government securities dealers."
