federal_register: 2015-07293

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2015-07293 Exemption for Certain Exchange Members Proposed Rule The Securities and Exchange Commission ("Commission") is proposing to amend Rule 15b9-1 ("Rule") under the Securities Exchange Act of 1934 ("Act" or "Exchange Act"), which exempts certain brokers or dealers from membership in a registered national securities association ("Association"). The proposed amendments would replace the current gross income allowance in the Rule with a narrower exemption from Association membership for a broker or dealer that carries no customer accounts and effects transactions on a national securities exchange. The proposed amendments would create an exemption for a dealer that effects transactions off the exchange of which it is a member solely for the purpose of hedging the risks of its floor-based activity, or a broker or dealer that effects transactions off the exchange resulting from orders that are routed by a national securities exchange of which it is a member, to prevent trade-throughs consistent with the provisions of Rule 611 of Regulation NMS. 2015-04-02 2015 4 https://www.federalregister.gov/documents/2015/04/02/2015-07293/exemption-for-certain-exchange-members https://www.govinfo.gov/content/pkg/FR-2015-04-02/pdf/2015-07293.pdf Securities and Exchange Commission 466 The Securities and Exchange Commission ("Commission") is proposing to amend Rule 15b9-1 ("Rule") under the Securities Exchange Act of 1934 ("Act" or "Exchange Act"), which exempts certain brokers or dealers from membership in a registered national... 3235-AL65

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