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Securities and Exchange Commission (SEC) › Securities Exchange Act › Proprietary Trading

WilmerHale

US District Court Vacates Controversial Dealer Rules

WilmerHale on

On November 21, 2024, the US District Court for the Northern District of Texas vacated rules adopted by the Securities and Exchange Commission (SEC) in February 2024. Those rules had defined language in the definitions of...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

Latham & Watkins LLP

SEC Proposes to Expand Interpretation of “Dealer” and “Government Securities Dealer” Definitions

Latham & Watkins LLP on

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

Katten Muchin Rosenman LLP

FINRA Proposes Exemption From the TAF for Proprietary Trading Firms

Katten Muchin Rosenman LLP on

On March 25, the Securities and Exchange Commission proposed amendments to Rule 15b9-1 under the Securities Exchange Act of 1934 to require broker-dealers that engage in off-exchange proprietary trading to become members of a...more

Katten Muchin Rosenman LLP

Proposed Amendments to SEC Rule 15b9-1 Would Require Most Proprietary Trading Broker-Dealers to Become FINRA Members

Katten Muchin Rosenman LLP on

Consistent with the increased regulatory scrutiny of proprietary trading firms-and high frequency trading firms in particular—the Securities and Exchange Commission (SEC) recently proposed amendments to SEC Rule 15b9-1 (also...more

Brooks Pierce

The SEC Will Take “Your” Money, Thanks

Brooks Pierce on

So let’s say you work for a hedge fund or some other financial institution that engages in proprietary trading , and you’re inclined to do some insider trading on your employer’s behalf. You make your trades, but you’re a...more

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