Nabil Sabki

Nabil Sabki

Latham & Watkins LLP

Contact
View Bio
RSS

Latest Posts › Government Securities

Share:

SEC Proposes to Expand Interpretation of “Dealer” and “Government Securities Dealer” Definitions

On March 28, 2022, the US Securities and Exchange Commission (SEC) proposed rules (Proposing Release) that would require securities market participants that engage in dealer-like activities - such as a proprietary trading...more

4/12/2022  /  Broker-Dealer , Decentralized Finance (DeFi) , Government Securities , Investment Advisers Act of 1940 , Market Participants , Proposed Rules , Proprietary Trading , Securities and Exchange Commission (SEC) , Securities Dealers , Securities Exchange Act
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide