This is the first of a series on financial regulators’ 2015 examination priorities. The SEC’s priorities focus on three broad topics: 1) protecting retail investors and, in particular, investors saving for retirement; 2) assessing market-wide risks; and 3) identifying and examining potential illegal activity through the use of data analytics. Ziliak Law Partner Michelle M. Comella and Associate Diona Rogers provide a high-level review of these priorities.
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