James Dombach

Davis Wright Tremaine LLP

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Bona Fide Market Making Activity Should Include Trading Interest Other Than Quotations

As part of a recent rulemaking, the Securities and Exchange Commission ("Commission" or "SEC") adopted Rule 3a5-4 to include certain liquidity providers within the meaning of the phrase "as a part of a regular business" in...more

2/16/2024  /  Incentives , Investors , Liquidity , Market Making , Marketing , Rulemaking Process , Securities , Securities and Exchange Commission (SEC) , Securities Exchange Act of 1934 , SRO
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