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United States: SEC Adopts Narrower Version Of Dealer Registration Rules - Akin Gump Strauss Hauer & Feld LLP

Mondaq Thursday, 15 February 2024
Earlier today, the Securities and Exchange Commission in a 3‑2 vote adopted new Rules 3a5‑4 and 3a44‑2 (together, the Dealer Rules) under the Securities Exchange Act of 1934...
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