BROKER DEALER REGISTRATION RULE
Broker Dealer Registration Rule
SEC's Chair Gary Gensler Issues Statement on Amendments to Broker-Dealer Registration Rule
The U.S. Securities and Exchange Commission (SEC) is amending Rule 15b9-1, allowing broker-dealers to bypass national securities associations like FINRA. The changes aim to ensure consistent oversight, particularly in cross-market and off-exchange activities, and promote transparency and efficiency in the capital markets, benefiting investors.
