Companies › FIA Principal Traders Group

FIA Principal Traders Group

Company Investment & Securities

FIA Principal Traders Group is listed as a company in Investment & Securities. It has filed 4 comment letters on 4 proposed federal rules between 2022 and 2023, most often with the Securities and Exchange Commission. Of those rules, 1 rule became final and 2 were withdrawn.

Type
Company
Industry
Investment & Securities
Comment letters
4
Rules commented on
4
First letter
2022-04-21
Latest letter
2023-06-13
Agencies most often
Securities and Exchange Commission (3); Federal Trade Commission (FTC) (1)

Activity by year

20221
20233

Letters

2023

Regulation Systems Compliance and Integrity

S7-07-23Securities and Exchange Commission · filed 2023-06-13 Withdrawn 2025

Non-Compete Clause Rule

FTC-2023-0007Federal Trade Commission (FTC) · filed 2023-04-19

Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions

S7-32-10Securities and Exchange Commission · filed 2023-03-23 Final rule 2023

2022

Comments on Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities

S7-02-22Securities and Exchange Commission · filed 2022-04-21 Withdrawn 2025