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SEC RIN: 3235-AN10 Publication ID: Fall 2022 
Title: Further Definition of Dealers 
Abstract:

The Division is considering recommending that the Commission adopt amendments to address the definition of dealer. 

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 78c(a)(5)    15 U.S.C. 78c(a)(44)    15 U.S.C. 78c(b)    15 U.S.C. 78w   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  04/18/2022  87 FR 23054   
NPRM Comment Period End  05/27/2022 
Final Action  04/00/2023 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Joanne Rutkowski
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5518
Email: rutkowskij@sec.gov