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SEC | RIN: 3235-AL65 | Publication ID: Spring 2018 |
Title: Registration of 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. |
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Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Long-Term Actions |
Major: Undetermined | Unfunded Mandates: No |
EO 13771 Designation: Independent agency | |
CFR Citation: 17 CFR 240.15b9-1 | |
Legal Authority: 15 U.S.C. 78o(b)(9) |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: None |
Federalism: No | |
Included in the Regulatory Plan: No | |
RIN Information URL: www.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 |