Free Site Registration

Will The SEC Force All Brokers Under FINRA Control?

On March 25, the SEC plans to vote on a proposal that may require all brokers to be subject to FINRA regulation. Hereís a look at the implications of the SECís plans to amend Rule 15b9-1.

Traders Magazine Online News, March 24, 2015

Annette L. Nazareth and Jeffrey T. Dinwoodie

On March 25, the SEC plans to vote on a proposal that may require all brokers to be subject to FINRA regulation. Hereís a look at the implications of the SECís plans to amend Rule 15b9-1.

Get access to this article and thousands more...

All TradersMagazine.com articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, online technology directory, the iPad App, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and trading strategies.

Already Registered?