News & Analysis as of

Supervision › Algorithmic Trading

Katten Muchin Rosenman LLP

FINRA Issues Guidance on Effective Supervision for Firms Engaging in Algorithmic Trading Strategies

Katten Muchin Rosenman LLP on

The Financial Industry Regulatory Authority released Regulatory Notice 15-09 to provide guidance to member firms and market participants on effective supervision and control practices with respect to algorithmic trading...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest - Volume X, Issue 12

Katten Muchin Rosenman LLP on

In this issue: - SEC Adopts Final Rules for Regulation A+ Offerings - FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions - FINRA Issues...more

2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide