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Enforcement Compliance Algorithmic Trading

Dorsey & Whitney LLP

SEC Charges Tied to the Lack of An Algorithm

Dorsey & Whitney LLP on

High speed trading and the use of algorithms is a key topic of debate. An investment strategy centered on an algorithm for use in the currency markets is at the center of a settled administrative proceeding filed by the...more

Morrison & Foerster LLP

A Must Read: FINRA’s 2014 Exam Priorities

FINRA did not wait for any dust (or snow) to settle on the New Year before alerting the brokerage industry and the public about its regulatory and examination priorities for 2014. This year’s letter, issued earlier than ever...more

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