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Breaking: SEC Enhances Oversight with Broker-Dealer Rule Amendments
Aug 23, 2023
< 1 min read
by Coingape
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The Securities and Exchange Commission (SEC) is taking a bold step forward, adopting rule amendments targeting broker-dealers. Gary Gensler, SEC Chair, stated, “Some broker-dealers rely on outdated exemptions, creating a regulatory gap.” Consequently, there’s been a surge in firms with monthly trading volumes in the hundreds of billions, exempted from proper oversight. However, these new
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