Exchange Act Rules refer to regulations promulgated under the Securities Exchange Act of 1934 in the United States. These rules govern the secondary market for securities, including trading, reporting, and market participant conduct. They aim to protect investors and maintain fair, orderly, and efficient markets. Compliance with these rules is essential for entities operating within the US financial system.
Context
For digital assets, the applicability of Exchange Act Rules is a significant regulatory discussion, particularly regarding whether certain tokens constitute securities. News reports often detail legal challenges and regulatory guidance concerning the registration requirements for digital asset exchanges and trading platforms. The ongoing debate about securities law precedent directly influences how these rules are applied to the evolving cryptocurrency market.
The judicial ruling restores the critical trader/dealer distinction, preserving operational flexibility and avoiding onerous capital requirements for market makers.
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