SEC’s 2016 Examination Priorities Focus on Retail Investors, Market Wide Risk and Use of Data Analytics

January 12, 2016

FINRA’s 2016 Examination Priorities Identifies New Initiatives on Market Integrity and Firm Culture and Further Concern on Supervision and Controls

January 8, 2016

FINRA Arbitration Task Force Fails To Reach Consensus On Many Major Issues

December 21, 2015

SEC Proposal Would Limit Investment In Derivatives By Investment Companies

December 14, 2015

CFTC Proposes New Regulations For Algorithmic Trading

December 8, 2015

SEC Proposes Rules To Enhance Transparency And Oversight Of Alternative Trading Systems

November 19, 2015

SEC Director of the Division of Enforcement Discusses Market Structure Enforcement

November 4, 2015

CFTC Chair Discusses the CFTC’s Response to Algorithmic Trading

October 23, 2015

SEC Chair Calls for Reexamination of Treasury Market Regulations in Light of High Speed Electronic Trading

October 21, 2015

CFTC Accuses Firm Manually Entering Orders Of Spoofing Scheme That Fooled Algorithmic Traders

October 20, 2015