Published works by Brian Friedman

Published works

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

  Corporate Defense and Disputes · January 12, 2016

  LEX-WK-DDRPKT01
• FINRA’s 2016 Examination Priorities Identifies New Initiatives on Market Integrity and Firm Culture and Further Concern on Supervision and Controls

  Corporate Defense and Disputes · January 8, 2016

  LEX-WK-N8JF0CH4
• FINRA Arbitration Task Force Fails To Reach Consensus On Many Major Issues

  Corporate Defense and Disputes · December 21, 2015

  LEX-WK-PSKZN4WP
• SEC Proposal Would Limit Investment In Derivatives By Investment Companies

  Corporate Defense and Disputes · December 14, 2015

  LEX-WK-8NFQ0P4Y
• CFTC Proposes New Regulations For Algorithmic Trading

  Corporate Defense and Disputes · December 8, 2015

  LEX-WK-FGPDHB02
• SEC Proposes Rules To Enhance Transparency And Oversight Of Alternative Trading Systems

  Corporate Defense and Disputes · November 19, 2015

  LEX-WK-982N1PKK
• SEC Director of the Division of Enforcement Discusses Market Structure Enforcement

  Corporate Defense and Disputes · November 4, 2015

  LEX-WK-HBXTZ5PV
• CFTC Chair Discusses the CFTC’s Response to Algorithmic Trading

  Corporate Defense and Disputes · October 23, 2015

  LEX-WK-PZBM3PTW
• SEC Chair Calls for Reexamination of Treasury Market Regulations in Light of High Speed Electronic Trading

  Corporate Defense and Disputes · October 21, 2015

  LEX-WK-YE6ZD2AZ
• CFTC Accuses Firm Manually Entering Orders Of Spoofing Scheme That Fooled Algorithmic Traders

  Corporate Defense and Disputes · October 20, 2015

  LEX-WK-QM74AQ4H
• Coding Errors Lead To SEC Sanctions for High-Frequency Trading Firm

  Corporate Defense and Disputes · October 1, 2015

  LEX-WK-9P0GANDZ
• Big Loss For Plaintiffs In High Frequency Trading Cases

  Corporate Defense and Disputes · September 3, 2015

  LEX-WK-F9W69N3H
• SEC Sanctions Dark Pool Operator and Affiliated High Frequency Trader

  Corporate Defense and Disputes · August 13, 2015

  LEX-WK-X8C6YNHD
• New York AG May Face A Tough Road In High Frequency Trading Case Against Barclays

  Corporate Defense and Disputes · February 18, 2015

  LEX-WK-K1B74TQ8
• SEC Sanctions Two Exchanges for Failing to Accurately Describe Order Types and Making Preferential Disclosure to High Frequency Traders

  Corporate Defense and Disputes · January 13, 2015

  LEX-WK-JY84K27S
• FINRA’s 2015 Examination Priorities Zero In On Abusive Trading Algorithms and Other Issues Involving Trading Technology

  Corporate Defense and Disputes · January 8, 2015

  LEX-WK-BNP0RJE3
• SEC Working Papers Suggest Market Benefits From Certain Types of High-Frequency and Low-Latency Trading

  Corporate Defense and Disputes · December 30, 2014

  LEX-WK-1NCK9581
• Regulators Continue To Address High-Frequency Trading

  Corporate Defense and Disputes · October 22, 2014

  LEX-WK-VHG62396
• Second Circuit Rules That Derivatives Counterparty Is Not A “Customer” of Broker-Dealer Under FINRA Rules

  Corporate Defense and Disputes · October 20, 2014

  LEX-WK-874KTKBX