The National Futures Association (NFA) held its first NFA Cybersecurity Workshop on February 2, 2016 in Chicago. The workshop consisted of discussion of NFA Cybersecurity Interpretive Notice to Compliance Rules 2-9, 2-36, and 2-49 entitled Information Systems Security Programs (ISSP) and ISSP policy development. The NFA is requiring CPO’s, CTA’s, IB’s, FCM’s, retail foreign exchange dealers, swap dealers, and major … Read More
How can an individual or financial services firm resolve futures and securities disputes? Ziliak Law Partner Michelle M. Comella outlines the options.
The SEC published a proposed amendment to Rule 15b9-1 on April 2, 2015 that will impact Proprietary Trading Groups, and by association, HFTs and Algorithmic Trading Strategies. Ziliak Law’s Thomas F. Cashman (Of Counsel) and Michelle M. Comella (Partner) provide insights on the Rule’s history and the potential changes.
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.
Ziliak Law’s Doug Cahanin (Associate) and Zach Ziliak (Managing Partner) examine how ICE’s new anti-spoofing Rule 4.02(l) tracks—and differs from—CME’s earlier Rule 575.
Managing Partner Zach Ziliak, with Brattle Group’s Pavitra Kumar and Torben Voetmann, show why high-frequency trading litigation presents complex issues for experts.
Managing Partner Zach Ziliak surveys the state of play for automated, algorithmic, high-frequency, and quantitative traders in the U.S. regulatory environment. Highlights include recent actions taken by Congress and regulators, likely future regulation, and industry response.
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