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SEC

RIN: 3235-AN10

Publication ID: Fall 2023

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: 17 CFR 240.3a5-4 17 CFR 240.3a44-2
Legal Authority: 15 U.S.C. 77c 15 U.S.C. 77d 15 U.S.C. 77g 15 U.S.C. 77j 15 U.S.C. 77s 15 U.S.C. 77z-2 15 U.S.C. 77z-3 15 U.S.C. 77eee 15 U.S.C. 77ggg 15 U.S.C. 77nnn 15 U.S.C. 77sss 15 U.S.C. 77ttt 15 U.S.C. 78c 15 U.S.C. 78c-3 15 U.S.C. 78c-5 15 U.S.C. 78d 15 U.S.C. 78e 15 U.S.C. 78f 15 U.S.C. 78g 15 U.S.C. 78i 15 U.S.C. 78j 15 U.S.C. 78j-1 15 U.S.C. 78k 15 U.S.C. 78k-1 15 U.S.C. 78l 15 U.S.C. 78m 15 U.S.C. 78n 15 U.S.C. 78n-1 15 U.S.C. 78o 15 U.S.C. 78o-4 15 U.S.C. 78o-10 15 U.S.C. 78p 15 U.S.C. 78q 15 U.S.C. 78q-1 15 U.S.C. 78s 15 U.S.C. 78u-5 15 U.S.C. 78w 15 U.S.C. 78x 15 U.S.C. 78dd 15 U.S.C. 78ll 15 U.S.C. 78mm 15 U.S.C. 80a-20 15 U.S.C. 80a-23 15 U.S.C. 80a-29 15 U.S.C. 80a-37 15 U.S.C. 80b-3 15 U.S.C. 80b-4 15 U.S.C. 80b-11 15 U.S.C. 7201 et seq. 15 U.S.C. 8302 7 U.S.C. 2(c)(2)(E) 12 U.S.C. 5221(e)(3) 18 U.S.C. 1350 18 U.S.C. 1350 Pub. L. 111-203, 939A, 124 Stat. 1376 (2010) Pub. L. 112-106, sec. 503 and 602, 126 Stat. 326 (2012), unless otherwise noted ...

Legal Deadline: None

Timetable:

Action	Date	FR Cite
NPRM	04/18/2022	87 FR 23054
NPRM Comment Period End	05/27/2022
Final Action	04/00/2024

Regulatory Flexibility Analysis Required: No	Government Levels Affected: None
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