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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