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Securities and Exchange Commission (SEC) › Digital Assets › Securities Dealers

Cozen O'Connor

Republican AGs Sue SEC Claiming Cryptocurrency Regulatory Overreach

Cozen O'Connor on

A group of 18 Republican AGs, joined by a nonpartisan policy group, have filed a lawsuit contesting the SEC’s enforcement authority over digital assets, including cryptocurrency. In the complaint, the coalition alleges that...more

Latham & Watkins LLP

The SEC’s Definition of a “Dealer” - End of the Road for DeFi, or Just Another Bump?

Latham & Watkins LLP on

The SEC’s ambiguous rule could have a chilling effect both on decentralized finance and on the provision of liquidity to centralized crypto exchanges. The Securities and Exchange Commission (SEC) adopted a new rule on...more

Wilson Sonsini Goodrich & Rosati

SEC Proposes Changes to the Definitions of “Dealer” and “Government Securities Dealer” Under the Securities Exchange Act

Wilson Sonsini Goodrich & Rosati on

The Rule Proposal Would Clarify Which Market Participants Are Engaged in Buying and Selling Securities for Their Own Account "as Part of a Regular Business" and Are Subject to Dealer Registration Requirements....more

Goodwin

Is the SEC’s Expansion of the “Exchange” and “Dealer” Definitions Part of the Agency’s Crypto and DeFi Strategy?

Goodwin on

In March 2022, the U.S. Securities and Exchange Commission proposed rules that would greatly expand the Exchange Act definition of “dealer” and essentially kill the distinction between dealers and traders long-recognized by...more

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