Final Rules: Changes to Definition of Dealer and Government Securities Dealer On Feb. 6, 2024, the Securities and Exchange Commission adopted final rules that require market participants that take …

Jan 23, 2025 · About The federal securities laws empower the Securities and Exchange Commission with broad authority over all aspects of the securities industry. The SEC’s mission is to protect …

Home We make markets work better. Founded to help our country respond to the Great Depression, we’re the agency that protects investors from misconduct, promotes fairness & efficiency in the …

I. INTRODUCTION The Securities Exchange Act of 1934 ("Exchange Act" or "Act") governs the way in which the nation's securities markets and its brokers and dealers operate. We have prepared this …

Jul 1, 2025 · Vanguard Government Securities Active ETF Summary Prospectus July 1, 2025 Exchange-traded fund shares that are not individually redeemable and are listed on NYSE Arca …

Feb 6, 2024 · The Securities and Exchange Commission today adopted two rules that require market participants who engage in certain dealer roles, in particular those who take on significant liquidity …

The securities may include U.S. government securities, as well as equity securities issued by majority- and wholly-owned subsidiaries, all of which are excluded from the definition of “investment securities.”

Nov 3, 2010 · There are many kinds of money market funds, including ones that invest primarily in government securities, tax-exempt municipal securities, or corporate debt securities. Money market …

Securities and Exchange Commission (“Commission”) the proposed rule change SR- FICC-2024-005 pursuant to Section 19(b) of the Securities Exchange Act of 1934 (“Exchange Act”)1 and Rule 19b …

Nov 7, 2007 · Exempted securities include government securities. Thus, a bank has an exception from the definition of broker for transactions in government securities and an exception from the definition …