FINRA and the SEC’s Office of Compliance Inspections and Examinations (OCIE) (collectively, the “Staff”) released the National Senior Investor Initiative (the “Report”) cautioning broker-dealers to reexamine their policies and procedures related to senior investors 65...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: April 2015
FINRA Regulatory Notice 15-09
FINRA recently released Regulatory Notice 15-09 (the “Notice”) to provide guidance on supervision/control practices for member firms and market participants using algorithmic trading strategies (including high frequency trading). According to the Notice, algorithmic...
