SEC Expands FINRA Oversight of Proprietary Trading Firms
On Aug. 23, 2023, the US Securities and Exchange Commission (“Commission”) adopted amendments (“Amendments”) to the Securities Exchange Act of 1934…
Source: lexology.com
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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...
Source: mondaq.com