Algorithmic Trading Developers May Be Required to Register

FINRA has filed a proposed rule to require algorithmic trading developers to register as Securities Traders.  The proposal would require individuals who design, develop or modify algorithmic trading strategies to... [...]

Last month FINRA announced their exam priorities for 2016. One of the more notable priorities was that they would be looking at the firms’ commitment to a strong ethical culture. ... [...]

FINRA updated their Written Supervisory Procedures Checklist this month. This update can be downloaded from the “Written Supervisory Procedures Checklist” link located at the bottom left of the FINRA link... [...]