SEC: Rulemaking

"The final rule does not exclude investment advisers, as some commenters had hoped. Why would it make sense for an investment adviser, which is already ...

"In recent years, advancements in electronic trading have resulted in certain market participants playing an increasingly significant role in providing liquidity .... There is a ...

"This rulemaking targets proprietary trading funds (PTFs), private funds, and others who make money by buying low and selling high in the Treasury market, while ...

"Absent today’s reforms, our capital markets and financial regulators would continue to lack key data, and therefore limited oversight, over an unregistered segment of the ...

This new final rule from the SEC in 2024 would spell out when a firm must register as a dealer

This is an SEC final rule from 2024 that could force some firms to register as dealers

"Today’s reforms improve disclosures about how SPAC shares may be diluted. This will provide investors with better information to evaluate the merits of de-SPAC transactions"

"The Commission lacks statutory authority to outright ban making investments in SPACs or becoming a reporting company via a de-SPAC transaction. Instead, it has resorted ...

"We cannot sacrifice the mechanisms, incentives, and protections that have been developed for nearly a century, because to do so would be to undermine the ...

"The Commission has failed to identify a problem in need of a regulatory solution"