By

Charles A. Sommers

10 February 2022

SEC Chair: Sweeping New Cybersecurity Rules Are Coming Soon

On Monday, January 24, 2022, in a speech at the Northwestern University Pritzker School of Law annual Securities Regulation Institute conference, Gary Gensler, Chair of the U.S. Securities and Exchange Commission (SEC), announced that he has asked SEC staff to provide sweeping rulemaking recommendations to modernize and expand the agency’s … Read More

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27 April 2016

FINRA Expands Focus on Algorithmic Trading With New Registration Requirements

On April 7, 2016, the Securities and Exchange Commission (SEC) approved a proposed rule change by the Financial Industry Regulatory Authority (FINRA) that requires registration as Securities Traders of associated persons of FINRA members that are primarily responsible for the design, development or significant modification of algorithmic trading strategies.  Securities Read More

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