Jan 28, 2025 · As algorithmic trading strategies, including high frequency trading (HFT) strategies, have grown more widespread in U.S. securities markets, the potential for these strategies to …

Mar 26, 2015 · Executive Summary As algorithmic trading strategies, including high frequency trading (HFT) strategies (hereinafter referred to collectively as "algorithmic strategies"), have …

Jun 6, 2016 · Examples of systems that are considered algorithmic trading strategies if they generate or route orders include: • an arbitrage strategy, such as index or exchange-traded …

Executive Summary As algorithmic trading strategies, including high frequency trading (HFT) strategies (hereinafter referred to collectively as “algorithmic strategies”), have grown to …

Scope of “Algorithmic Trading Strategy” Under the rule, an “algorithmic trading strategy” is an automated system that generates or routes orders (including sending orders for routing and …

Mar 19, 2015 · Problematic conduct stemming from algorithmic trading strategies have included failure to check for order accuracy, inappropriate levels of messaging traffic, wash sales, …

The Manipulative Trading topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from …

May 16, 2019 · Firms may need to evaluate the roles of these personnel to ensure that they have the appropriate FINRA licenses and registrations. For instance, as stated in Regulatory Notice …

Algorithmic Trading: Using Regulatory Notice 15-09 (Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies) to inform a firm’s …

h strategies to adversely impact market and firm stability has likewise grown. When assessing the risk the use of algorithmic strategies creates, firms should undertake a holistic review of their …