Regulation & law · 05/11/2002Updated: 10/17/2026 · 1 min read

SEC Proposes Amendments to Bank Exemptions from Dealer Registration Under Securities Exchange Act of 1934

The Securities and Exchange Commission is proposing changes to its rules regarding exemptions for banks from dealer registration, specifically for certain de minimis riskless principal transactions and securities lending under the Securities Exchange Act of 1934, in an effort to clarify terms and definitions used in these exemptions.