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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 .

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SEC Expands FINRA Oversight Of Proprietary Trading Firms - Financial Services

On Aug. 23, 2023, the US Securities and Exchange Commission ("Commission") adopted amendments ("Amendments") to the Securities Exchange Act of 1934 ("Exchange Act") to require certain SEC-registered.

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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