FINRA’s 2015 priorities, while often overlapping with those on the SEC OICE’s list, cover an expansive list of topics firms should be sure to review. Ziliak Law Partner Michelle M. Comella and Associate Diona Rogers provide insight.
Latest posts by Michelle Comella (see all)
- Dispute Resolutions in the Futures and Securities Industries - August 19, 2015
- Another Shot Across the Bow for Proprietary Trading Groups, and By Association, HFTs and Algorithmic Trading Strategies - June 4, 2015
- Time Running Out to Comment on FINRA’s Plan to Register Algorithmic Trading Strategy Developers - May 11, 2015