Nabil Sabki

Nabil Sabki

Latham & Watkins LLP

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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
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