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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 - Vimarsana News

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

Published: September 7, 2023

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...

Source: jdsupra.com
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Regulation of Stock Exchange Fees and Platform Competition - Vimarsana News

Regulation of Stock Exchange Fees and Platform Competition

Published: June 9, 2022

To be successful, stock exchanges must attract sufficient numbers of market makers, who provide liquidity by quoting prices and stand ready to buy or sell, as well as traders pursuing other strategies, who often take the liquidity market makers provide by hitting offers

Source: natlawreview.com
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