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SEC Expands Definition of Dealer to Capture Liquidity Providers

SEC Expands Definition of Dealer to Capture Liquidity Providers
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Katten Fact Sheet For Certain Firms That Must Become FINRA Members - Financial Services

As background, the SEC adopted amendments to Rule 15b9-1 of the Securities Exchange Act of 1934 (SEA Rule 15b9-1) that require a broker-dealer to become a FINRA member if the broker-dealer effects transactions .

Securities exchangeSecurities exchange actOptions order protectionCrossed market planNew member applicationTrading activity feeMonitoring analystTrade reportingKatten fact sheet for certain firms that must become finra membersCorporate commercial lawCorporate and company lawFinance and bankingFinancial services

FINRA Gains Greater Jurisdiction And Members: Amendments To SEC Rule 15b9-1 Will Require Most Proprietary Trading Broker-Dealers To Join FINRA - Financial Services

The Securities and Exchange Commission (SEC) recently adopted amendments to SEC Rule 15b9-1 that will require virtually every broker-dealer to become a Financial Industry.

Securities exchangeExchange commissionFinancial industry regulatory authorityRegulatory authority incExemption for certain exchange membersSecurities association membershipOptions orderCrossed market planSecurities exchange actMembership applicationProprietary tradingTrade reportingCompliance engineTrading activity feeConsolidated audit trailSecurities association

FINRA Gains Greater Jurisdiction and Members: Amendments to SEC Rule 15b9-1 Will Require Most Proprietary Trading Broker-Dealers to Join FINRA | Katten Muchin Rosenman LLP

The Securities and Exchange Commission (SEC) recently adopted amendments to SEC Rule 15b9-1 that will require virtually every broker-dealer to become a Financial Industry Regulatory.

Securities exchangeFinancial industry regulatory authority incNational securities association membershipFinancial industry regulatory authorityExchange commissionExemption for certain exchange membersOptions order protectionCrossed market planSecurities exchange actMembership applicationProprietary tradingTrade reportingCompliance engineTrading activity feeConsolidated audit trailNational securities association

SEC Adopts Amendment to Require Broker-Dealers to Join FINRA

SEC Adopts Amendment to Require Broker-Dealers to Join FINRA
natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.

Financial industry regulatory authority incExemption for certain exchange membersSecurities exchangeExchange commissionFinancial industry regulatory authorityNational securities association membershipOptions order protectionCrossed market planSecurities exchange actMembership applicationProprietary tradingTrade reportingCompliance engineTrading activity feeConsolidated audit trailNational securities association