Breaking: SEC Enhances Oversight with Broker-Dealer Rule Amendments

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 Gary Gensler, SEC Chair, stated,  “Some broker-dealers rely on outdated exemptions, creating a regulatory gap.”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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