Kathryn M. Trkla

Foley & Lardner discusses Important Regulatory Developments for Proprietary Trading Firms and Broker-Dealers Using Algorithmic Trading Strategies

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SEC Proposes Rule Extending FINRA Membership Requirement to Currently Exempted Proprietary Trading Firms

On March 25, 2015, the U.S. Securities and Exchange Commission (SEC) voted unanimously to issue a proposed rule amendment that would significantly narrow the existing exemption that …