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SEC RIN: 3235-AL65 Publication ID: Fall 2016 
Title: Exemption for Certain Exchange Members 
Abstract:

The Commission proposed 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: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: uncollected 
CFR Citation: 17 CFR 240.15b9-1   
Legal Authority: 15 U.S.C. 78o(b)(9)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  04/02/2015  80 FR 18036   
NPRM Comment Period End  06/01/2015 
Final Action  10/00/2017 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: sec.gov/rules/proposed/2015/34-74581.pdf  
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