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