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The SEC proposes FINRA regulation for high-frequency traders

USA - May 22 2015 The Securities and Exchange Commission (the “SEC”) recently proposed an amendment to Rule 15b9-1 under the Securities Exchange Act of 1934 (the...

Anastasia T. Rockas.


FINRA provides guidance on effective supervision and control practices for firms engaging in algorithmic trading strategies

USA - May 1 2015 The Financial Industry Regulatory Authority (“FINRA”) issued a Regulatory Notice (the “Notice”) in March 2015 that provides guidance on effective...

Tri D. Chiem, Anastasia T. Rockas, Brynn M. Rail.