SEC Proposes New Rules Defining “Dealer” Status: Proposal Seeks to Clarify When Unregistered Firms Engaged in Market-Making and Liquidity-Providing Activities May Need to Register as Dealers
| Published date | 07 April 2022 |
| Subject Matter | SEC,Securities Exchange Act,Broker-Dealer,Market Participants,Market Making,Unregistered Brokers,Registration Requirement,Proposed Rules,Securities Traders,Government Securities |
| Author | Andre Owens,Bruce Newman,Stephanie Nicolas,Tiffany Smith,Kyle Swan |
| Law Firm | WilmerHale |
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