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Electronic Credit Trading Approaching Inflection Point in IG

Electronic Credit Trading Approaching Inflection Point in IG
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Remarks by Assistant Secretary for Financial Markets Joshua Frost on Recent Progress by the Inter-Agency Working Group on Treasury Market Surveillance at the Federal Reserve Bank of New York's Annual Primary Dealer Meeting

Remarks by Assistant Secretary for Financial Markets Joshua Frost on Recent Progress by the Inter-Agency Working Group on Treasury Market Surveillance at the Federal Reserve Bank of New York's Annual Primary Dealer Meeting
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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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Securities and Exchange Commission Broadens Dealer Definition

Securities and Exchange Commission Broadens Dealer Definition
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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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