Taylor N. Patton

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Taylor N. Patton is a member of the Litigation Practice in Greenberg Traurig's West Palm Beach office.

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SEC Seeks to Expand ‘Dealer’ or ‘Government Securities Dealer’ Definition to Require Additional Firms to Register with Agency and Comply with Federal Securities Regulations

By Tracy L. Gerber, William Mack, John D. Owens, III & Taylor N. Patton on May 2, 2022

Posted in Brokers, Featured, FINRA, GT Alert, Regulatory, Regulatory Compliance, SEC, Securities, Securities and Exchange Commission, U.S. Financial Market

On March 28, 2022, the Securities Exchange Commission (SEC) issued a press release regarding two proposed rules, Rules 3a5-4 and 3a44-2 under the Securities Exchange Act of 1934 (the Act).
Continue Reading SEC Seeks to Expand ‘Dealer’ or ‘Government Securities Dealer’ Definition to Require Additional Firms to Register with Agency and Comply with Federal Securities Regulations