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Searching Content by Stephen Luparello ordered by Published Date Descending.
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Knight Capital Settles Rule 15c3-5 Violations With SEC, Agrees To Pay $12 Million
On October 16, 2013, Knight Capital Americas LLC (Knight Capital) agreed to pay $12 million to settle charges brought by the Securities and Exchange Commission (SEC) alleging that the firm violated Rule 15c3-5 (the Market Access Rule or Rule) under the Securities Exchange Act of 1934
United States
24 Oct 2013
2
Addressing The Need For Speed: CFTC Seeks Comment On Risk Controls For Automated Trading Environments
Summary: On September 12, 2013, the Commodity Futures Trading Commission ("CFTC" or "Commission") published a Concept Release on Risk Controls and System Safeguards for Automated Trading Environments ("Concept Release" or "Release").
United States
7 Oct 2013
3
CFTC Concept Release On Automated Systems And Risk Controls
On September 12, 2013, the Technology Advisory Committee of the Commodity Futures Trading Commission held a public meeting to discuss the CFTC’s recent Concept Release on Risk Controls and System Safeguards for Automated Trading.
United States
17 Sep 2013
4
SEC Gets SCI-entific About Trading Systems With Proposed Regulation SCI
On March 7, 2013, the Securities and Exchange Commission voted unanimously to propose Regulation Systems Compliance and Integrity under the Securities Exchange Act of 1934.
United States
10 Apr 2013
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