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BLOGS. August 18, 2022

Proposed SEC Dealer Expansion: What You Need to Know

The Securities and Exchange Commission (SEC) recently proposed new rules that would expand the definition of who qualifies as a “dealer.” The proposed qualitative standards would require certain market participants (excluding persons who have or control less than $50 million, and companies registered under the Investment Company Act of 1940) to register with the SEC, become a member of a self-regulatory organization and comply with federal securities laws and regulations if they meet any of the following:

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