Earlier this year the US Securities and Exchange Commission (SEC) proposed rules (Proposing Release) that would require securities market participants that engage in dealer-like activities to register with the SEC, become a member of a self-regulatory organization (SRO), and comply with federal securities laws and regulatory obligations. This article, written by Latham & Watkins, focuses on the proposed changes and the qualitative and quantitative standards that these rules propose. To learn more check out this article.
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