SEC Expands FINRA Oversight of Proprietary Trading Firms

U.S. SEC Adopts Amendments to Expand FINRA Oversight of ...

U.S. SEC Adopts Amendments to Expand FINRA Oversight of Proprietary Trading Firms · is a member of a national securities exchange · carries no ...

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

This includes most proprietary trading firms. FINRA has since adopted a short-form membership application process for firms that have been a ...

SEC Expands FINRA Oversight of Proprietary Trading Firms

SEC-registered broker-dealers to become FINRA members, unless the broker-dealer effects transactions in securities solely on an exchange of which it is a ...

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

The Securities and Exchange Commission (SEC) has moved to expand the remit of national securities associations such as the Financial ...

U.S. SEC Expands Dealer Registration Requirements, Including to ...

... sec-adopts-amendments-to-expand-finra-oversight-of-proprietary-trading-firms. Attorney Advertising—Sidley Austin LLP is a global law firm.

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

They will be required to register with the SEC and FINRA, become subject to the Exchange Act and SEC and FINRA rules (e.g., net capital ...

Statement on Final Rule Regarding Exemption for Certain Exchange ...

Today's amendments eliminate the current exemption from the requirement to be a member in a securities association for proprietary trading firms ...

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 ...

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 ...

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

The SEC also rejected commenters' suggestion to exclude proprietary trading firms from application of the rules because they have no "customers, ...

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 ...

SEC Expands Dealer Rule To Proprietary Traders, Private Funds

... now include proprietary trading firms and some hedge funds in its definition of securities dealers, expanding the agency's oversight authority.

SEC expands FINRA's jurisdiction - Investment Executive

Most prop trading firms will have to join the U.S. Financial Industry Regulatory Authority Inc. (FINRA), and submit to its oversight, under ...

Regulatory Notice 23-19 | FINRA.org

... expand or change the ... Proprietary Trading Firms. Referenced Rules & Notices. FINRA Rule 1013. FINRA Rule 1210. Rule 611 of SEC Regulation NMS.

SEC expands FINRA's jurisdiction - Advisor.ca

Most prop trading firms will have to join the U.S. Financial Industry Regulatory Authority Inc. (FINRA), and submit to its oversight, under new rules ...

SEC Significantly Narrows Exemption from FINRA Membership for ...

(“FINRA”) – for SECregistered broker-dealers that engage in proprietary trading of securities off the national securities exchanges (“Exchanges”) ...

Amendments to SEA Rule 15b9-1: Potential Increase in FINRA ...

The amendments eliminated a long-standing proprietary trading exclusion that had allowed certain proprietary trading firms, options market ...

File No. SR-FINRA-2023-009) June 26, 2023 Self-Regulatory ...

adopted by the SEC, those proprietary trading firms that would become FINRA members would ... FINRA to supervise and oversee proprietary trading ...

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

The SEC estimates that if adopted, the Proposal would affect approximately 65 broker-dealers that are not FINRA members that routinely transact ...

Text of the Proposed Rule Change - finra

SEC, those proprietary trading firms that would ... oversight of proprietary trading member firms that do not engage in customer business.