Majority of prop trading firms obliged to join FINRA under expanded ...

“Under current rules, proprietary trading firms which are solely members of an exchange are subject to less rigorous oversight and operate in a ...

Prop firms obligated to join FINRA - Elite Trader

https://www.thetradenews.com/majority-of-prop-trading-firms-obliged-to-join-finra-under-expanded-sec-rule/

Amendments to SEC Rule 15b9-1 Will Require Most Proprietary ...

According to the SEC, requiring previously exempt proprietary trading firms to become FINRA members will provide a more consistent regulatory ...

Michael Brown on LinkedIn: Majority of prop trading firms obliged to ...

Under this rule proprietary trading firms will be required to report post trade activity to FINRA for US Treasuries.

SEC Expands FINRA Oversight of Proprietary Trading Firms

Section 15(b)(8) of the Exchange Act requires SEC-registered broker-dealers to become FINRA members, unless the broker-dealer effects ...

FINRA Adopts TAF Exemption for Proprietary Trading Firms

Summary FINRA has amended its By-Laws to exempt from the Trading Activity Fee (TAF) any transaction by a proprietary trading firm that ...

Fact Sheet for Certain Firms That Must Become FINRA Members

The new rule requires nearly all broker-dealers to become members of FINRA, thus eliminating a long-standing exemption for proprietary trading ...

SEC Rule 15b9-1 Expands FINRA Oversight | Oyster Consulting

In August 2023, the SEC approved amendments requiring a SEC registered broker dealer to join FINRA if it performs securities transactions on an ...

SEC to Require Some Proprietary Trading Firms and Private Funds ...

SEC to Require Some Proprietary Trading Firms and Private Funds to Register as “Dealers” ... They will be required to register with the SEC and ...

r/wallstreetbets - Majority of prop trading firms obliged to join FINRA ...

Majority of prop trading firms obliged to join FINRA under expanded SEC rule - The TRADE. News. Sounds promising.

SEC Targets Certain Proprietary Trading Firms and Private Funds ...

The Net Capital Rule highly discourages withdrawals of capital within one year of contribution, providing, generally, that any capital withdrawn ...

SEC Significantly Broadens "Dealer" Definition

As a result of this significant expansion, many market participants previously considered "traders" will be considered "dealers" under the new ...

Majority Of Prop Buying And Selling Firms Obliged To Affix Finra ...

Majority Of Prop Buying And Selling Firms Obliged To Affix Finra Underneath Expanded Sec Rule ... The prop trading world is dynamic and difficult, however for ...

U.S. SEC adopts amendments to expand FINRA oversight of ...

In FINRA's comment letter on the rulemaking, it stated that given the types of proprietary trading firms that will need to join as a result of ...

SEC Proposes to Expand FINRA Oversight of Proprietary Trading ...

The Proposal is designed to require broker-dealers that engage in securities transactions over the counter (OTC) to be subject to oversight by ...

SEC Expands "Dealer" Definition to Capture Liquidity Providers | HUB

Over 40 market participants will have to register as dealers or government securities dealers, including most proprietary and principal trading ...

Exemption for Certain Exchange Members - Federal Register

The Securities and Exchange Commission (“Commission”) is adopting amendments to a rule under the Securities Exchange Act of 1934 (“Act” or “ ...

The TRADE's most read stories of the year part three: Regulation ...

1. Majority of prop trading firms obliged to join FINRA under expanded SEC rule. And finally, we reach the crescendo of The TRADE's most read ...

Who Needs Customers, Anyway? New SEC Rules Turn Traders Into ...

The new rules will require many entities that previously avoided dealer registration based on the dealer/trader distinction to become subject to ...

Regulatory Notice 24-13 | FINRA.org

For purposes of the pattern day trading requirements, Rule 4210 defines “day trading” as the purchasing and selling or the selling and ...