Hosted on MSN

Why proprietary trading licenses are becoming a market infrastructure issue

In trading circles, risk is usually discussed in terms of price, volatility, liquidity, and execution. Increasingly, however, another variable is influencing how markets function in practice: the ...
JD Supra

FINRA Gains Greater Jurisdiction and Members: Amendments to SEC Rule 15b9-1 Will Require Most Proprietary Trading Broker-Dealers to Join FINRA

The Securities and Exchange Commission (SEC) recently adopted amendments to SEC Rule 15b9-1 that will require virtually every broker-dealer to become a Financial Industry Regulatory Authority (FINRA) ...
Nasdaq

Hyperion DeFi Enters Into First HAUS Agreement With Proprietary Trading Firm Credo

LAGUNA HILLS, Calif., Sept. 16, 2025 (GLOBE NEWSWIRE) -- Hyperion DeFi, Inc. (NASDAQ: HYPD) (“Hyperion DeFi” or the “Company”), the first U.S. publicly listed company building a long-term strategic ...
JD Supra

Broker-Dealer Proprietary Trading Groups: FINRA May Be In Your Future

Almost all proprietary trading firms that are currently registered as broker-dealers with the Securities and Exchange Commission (SEC) would likely be required to join the Financial Industry ...