DiscoverSEC RoundupSEC Roundup 79: SEC Backs Off Dealer Rule, But Legal Uncertainty Remains
SEC Roundup 79: SEC Backs Off Dealer Rule, But Legal Uncertainty Remains

SEC Roundup 79: SEC Backs Off Dealer Rule, But Legal Uncertainty Remains

Update: 2025-03-27
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The SEC’s dealer rule was struck down in federal court, and the agency has withdrawn its appeal (and apparently backed off of other ongoing litigation)—but the legal battle over the definition of a securities dealer isn’t over. ICAN co-founder Nick Morgan speaks with Daniel Austin and Suzan Rose from the Alternative Investment Management Association (AIMA) about how the SEC has used litigation to expand dealer obligations, what recent court decisions mean for the industry, and what could come next. Tune in for expert insights on this evolving regulatory fight.

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SEC Roundup 79: SEC Backs Off Dealer Rule, But Legal Uncertainty Remains

SEC Roundup 79: SEC Backs Off Dealer Rule, But Legal Uncertainty Remains

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