SEC’s Focus Shifts in 2015 OCIE Priorities

Michelle ComellaMarket Rules & Responsibilities, Operations

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 … Read More

A Tale of Two Issues: Breaking Down the HFT Debate

Zach ZiliakMarket Rules & Responsibilities, Operations, Video

Managing Partner Zach Ziliak has seen both sides of the HFT universe. A As a quant at an investment bank, he developed trading algorithms. As an attorney, he represents firms covering the whole Investment spectrum. As a participant in the AT 9000 initiative, he is working on the development of quality management standards for the testing of high frequency and … Read More

Roundtable Recap: SEC’s Technology Panels, October 2012

Zach ZiliakMarket Rules & Responsibilities, Operations

Ziliak Law Partner Zach Ziliak wrote a “featured commentary” for MarketsReformWiki in October, 2012. Roundtable Recap: SEC’s Technology Panels, October 2, 2012 On Tuesday October 2, 2012, technologists from automated trading companies told the Securities and Exchange Commissionthat the industry would benefit internally from enhanced quality control and externally from the adoption of safeguards like “kill switches.” [Read more…]