James Chen, CMT is an expert trader, investment adviser, and global market strategist. Investment securities are a category of securities—tradable financial assets such as equities or fixed income ...
"What we plan to tell the SEC is that municipal securities in general shouldn't be subject to Reg. AB," BDA's Michael Decker ...
SEC defines the phrase “as part of a regular business” to capture private funds and other market participants that take on liquidity-providing roles. The Securities and Exchange Commission (SEC) ...
On February 6, 2024, the Securities and Exchange Commission (“SEC”) adopted final rules (the “Final Rules”) that will further define the phrase “as a part of a regular business” as used in the ...
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