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Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer in Connection With Certain Liquidity Providers

SEC · final-rule · Published 2024-02-29 · Effective 2024-04-29 · 89 FR 14938

Document

Document number: 2024-02837
Federal Register citation: 89 FR 14938
CFR reference: 17 CFR 240
Type: Rule
Action: Final rule.
Category: final-rule
Agency: US Securities and Exchange Commission
Publication date: 2024-02-29
Effective date: 2024-04-29
Docket: Release No. 34-99477

Abstract

The Securities and Exchange Commission ("SEC" or "Commission") is adopting new rules to further define the phrase "as a part of a regular business" as used in the statutory definitions of "dealer" and "government securities dealer" under sections 3(a)(5) and 3(a)(44), respectively, of the Securities Exchange Act of 1934 ("Exchange Act").

Source

Authoritative: Federal Register document
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