The Securities and Exchange Commission (the "SEC" or "Commission") has adopted new rules that further define the phrase "part of a regular business" for purposes of determining whether a person is a "dealer" or "government...more
2/28/2024
/ Dealers ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
New Rules ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Securities Dealers ,
Securities Exchange Act ,
Securities Exchange Act of 1934 ,
Securities Regulation ,
Securities Traders ,
Securities Transactions
The U.S. Securities and Exchange Commission ("SEC") has granted a temporary exemption from broker registration for certain activities by municipal advisors.
On June 16, 2020, the SEC issued a temporary conditional...more
In September 2019, the Securities and Exchange Commission ("SEC") charged a non-U.S. financial services firm for providing brokerage services to investors in the United States without being registered as a broker-dealer or...more
10/15/2019
/ Broker-Dealer ,
Brokerage Accounts ,
Enforcement Actions ,
Foreign Investment ,
Institutional Investors ,
Non-US Entities ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations ,
Solicitation
The U.S. Securities and Exchange Commission ("SEC") is seeking comments on a proposed exemptive order granting a conditional exemption from broker registration requirements for certain activities of municipal advisors....more
10/11/2019
/ Comment Period ,
Disclosure Requirements ,
Exemptive Orders ,
Institutional Investors ,
Municipal Advisers ,
Municipal Securities Issuers ,
Municipal Securities Market ,
Proposed Regulation ,
Proposed Rules ,
Registration Requirement ,
Securities and Exchange Commission (SEC)