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SEC | RIN: 3235-AN17 | Publication ID: Fall 2022 |
Title: Narrowing Exemption for Certain Exchange Members | |
Abstract:
The Division is considering recommending that the Commission adopt amendments to Rule 15b9-1 to narrow the availability of the FINRA membership exemption for broker-dealer exchange members that trade proprietarily elsewhere than on an exchange of which they are a member. |
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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: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations.) | |
Legal Authority: 15 U.S.C. 78c 15 U.S.C. 78o 15 U.S.C. 78o-1 15 U.S.C. 78q 15 U.S.C. 78s 15 U.S.C. 78w 15 U.S.C. 78mm ... |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: Undetermined |
Federalism: Undetermined | |
Included in the Regulatory Plan: No | |
RIN Data Printed in the FR: No | |
Agency Contact: Michael Bradley Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5594 Email: bradleym@sec.gov |