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SEC Targets Certain Proprietary Trading Firms And Private Funds With Expanded

On Feb. 6, 2024, the US Securities and Exchange Commission ("SEC" or "Commission") adopted new Rules 3a5‑4 and 3a44‑2 (together, "Final Rules").

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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.

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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.

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SEC Adopts Amendment to Require Broker-Dealers to Join FINRA

SEC Adopts Amendment to Require Broker-Dealers to Join FINRA
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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

Statement On The Adoption Of Amendments To Rule 15b9-1, SEC Commissioner Hester M Peirce, Aug 23, 2023

Statement On The Adoption Of Amendments To Rule 15b9-1, SEC Commissioner Hester M Peirce, Aug 23, 2023
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