SEC: Rulemaking

"The increasing granularity of the Form PF obligations raises important questions about what measures are being taken to protect the investors in the private funds ...

"Cybersecurity risks represents an ongoing threat to Federal government agencies .... The ability of Federal agencies such as the SEC and CFTC to securely maintain ...

The CFTC and the SEC finalize their amendments to Form PF. Firms would have one year at least to comply.

After the SEC proposed new rules in 2022 designed to force more entities to register as dealers, the Commission received many comments asking that investment ...

"These measures are common sense. Congress did not intend for registration and regulatory requirements to apply to some dealers and not to others"

"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