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Article
Publication date: 5 September 2016

Michael T. Foley, Janet M. Angstadt, Ross Pazzol and James D. Van De Graaff

To analyze a recently approved FINRA rule amendment that will require registration with FINRA of associated persons of FINRA-member firms who are primarily responsible for the…

92

Abstract

Purpose

To analyze a recently approved FINRA rule amendment that will require registration with FINRA of associated persons of FINRA-member firms who are primarily responsible for the design, development or significant modification of an algorithmic trading strategy.

Design/methodology/approach

This article discusses the rationale and details of the proposed requirements.

Findings

The amended FINRA rule, particularly when combined with the SEC’s proposed amendments to Rule 15b9-1 under the Securities and Exchange Act of 1934, will result in many individuals who currently are not subject to a FINRA registration requirement to pass a qualification examination and register.

Originality/value

This article contains valuable information about important FINRA rule-making activity.

Details

Journal of Investment Compliance, vol. 17 no. 3
Type: Research Article
ISSN: 1528-5812

Keywords

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Article
Publication date: 19 July 2018

Janet M. Angstadt, David Dickstein, Mark Goldstein and Richard Marshall

To analyze SEC Staff’s announced 2018 OCIE Examination priorities to provide insight to investment advisers and other regulated entities regarding areas of focus during SEC…

116

Abstract

Purpose

To analyze SEC Staff’s announced 2018 OCIE Examination priorities to provide insight to investment advisers and other regulated entities regarding areas of focus during SEC examinations.

Design/methodology/approach

This article discusses the US Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) published its examination priorities for 2018 (the “2018 Priorities Report”).

Findings

Given that OCIE’s examination priorities for 2017 were published before the beginning of the Trump administration, differences between the 2017 and the 2018 priorities provide important insights into the focus of examinations under SEC Chair Clayton. Investment advisers and other regulated entities should allocate resources towards their preparedness for the areas of focus identified in the 2018 Priorities Report.

Originality/value

This article contains valuable insight regarding the SEC’s 2018 OCIE examination priorities and practical guidance from industry experts.

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Article
Publication date: 7 September 2015

Janet M. Angstadt, Michael T. Foley, Ross Pazzol and James D. Van De Graaff

To analyze FINRA’s proposal that would require registration with FINRA of associated persons of FINRA-member firms who are primarily responsible for the design, development or…

1915

Abstract

Purpose

To analyze FINRA’s proposal that would require registration with FINRA of associated persons of FINRA-member firms who are primarily responsible for the design, development or significant modification of an algorithmic trading strategy.

Design/methodology/approach

This article discusses the rationale and details of the proposed requirements.

Findings

If adopted in its current form, the proposed rule-making, particularly when combined with the SEC’s proposed amendments to Rule 15b9-1 under the Securities and Exchange Act, would result in many various individuals who currently are not subject to a FINRA registration requirement, to pass a qualification examination and register.

Originality/value

This article contains valuable information about important FINRA rule making activity.

Details

Journal of Investment Compliance, vol. 16 no. 3
Type: Research Article
ISSN: 1528-5812

Keywords

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