It has been more than a month since the SEC adopted amendments to the definitions of “dealer” and “government securities dealer”, and one thing is for certain: many market participants – and probably investors, too – have more questions than answers:

• Is my trading activity “regular” even though it’s not simultaneous?  
• How do I assess what it means to be “at or near” the best available price?  
• If my trading is in scope, what do I do now?  
• What are some of the requirements and costs (both monetary and nonmonetary) that come with dealer registration?

Join us for an in-depth analysis of the final rules, these questions and more with the team from Schulte Roth & Zabel that also provided a first-look overview of the final rules on a February 8 AIMA webinar.

Our panel of speakers include:

• Daniel Austin, Head of US Markets Policy and Regulation, AIMA
• Jennifer M. Dunn, Partner, Schulte Roth & Zabel
• William J. Barbera, Partner, Schulte Roth & Zabel
• Derek N. Lacarrubba, Special Counsel, Schulte Roth & Zabel