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Why proprietary trading licenses are becoming a market infrastructure issue

In trading circles, risk is usually discussed in terms of price, volatility, liquidity, and execution. Increasingly, however, another variable is influencing how markets function in practice: the ...
JD Supra

FINRA Gains Greater Jurisdiction and Members: Amendments to SEC Rule 15b9-1 Will Require Most Proprietary Trading Broker-Dealers to Join FINRA

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 Authority (FINRA) ...
JD Supra

Broker-Dealer Proprietary Trading Groups: FINRA May Be In Your Future

Almost all proprietary trading firms that are currently registered as broker-dealers with the Securities and Exchange Commission (SEC) would likely be required to join the Financial Industry ...