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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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