Latham and Watkins has posted an excellent summary of the SEC's recently updated Statutory Definitions of Dealer and Government Securities Dealer. It outlines new language and definitions that clarify "dealers" and their requirements and exceptions thereto.
See the attached link to Latham and Watkins Global Financial Regulatory blog from February 26, 2024:
Check out the SEC's exam priorities for 2025 in the attached summary. It covers investment firms, investment banks, securities...
In light of the recent global CrowdStrike outage, regulators are reminding the industry of their cybersecurity risk management compliance...
Today marks the 40th anniversary of the founding of Tellefsen and Company. Gerald (Jerry) Tellefsen started the firm in April of 1984...
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