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 Exchange Financial Industry Regulatory Authority Inc National Securities Association Membership Financial Industry Regulatory Authority Exchange Commission Exemption For Certain Exchange Members
Source: jdsupra.com