2022-06960: Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer
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The Securities and Exchange Commission ("Commission") is proposing new rules to further define the phrase "as a part of a regular business" as used in the statutory definitions of "dealer" and "government securities dealer" under Sections 3(a)(5) and 3(a)(44), respectively, of the Securities Exchange Act of 1934 ("Exchange Act").
The agency’s own summary, as published.
What this changes
Amends 1 part of the Code of Federal Regulations — the standing rules this notice rewrites.
Rulemaking docket
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