View Rule
View EO 12866 Meetings | Printer-Friendly Version Download RIN Data in XML |
SEC | RIN: 3235-AL65 | Publication ID: Fall 2014 |
Title: ●Exchange Act Rule 15b9-1 Amendments | |
Abstract:
The Division is considering recommending that the Commission propose amendments to Rule 15b9-1 under the Exchange Act to require broker-dealers that engage in proprietary trading in the over-the-counter market to be members of a registered national securities association. |
|
Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: First time published in the Unified Agenda | Agenda Stage of Rulemaking: Proposed Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 240.15b9-1 | |
Legal Authority: 15 USC 78o(b)(9) |
Legal Deadline:
None |
||||||
Timetable:
|
Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: None |
Federalism: No | |
Included in the Regulatory Plan: No | |
RIN Data Printed in the FR: No | |
Agency Contact: Katherine England Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5610 Email: englandk@sec.gov |