October 7, 2014
NYSE GROUP TO REENGAGE ITS SURVEILLANCE, INVESTIGATION AND ENFORCEMENT PROGRAM
On October 6, 2014, the NYSE Group announced that it will not renew its contract with FINRA for the surveillance, investigations and enforcement program related to its exchanges. The contract with FINRA expires on December 31, 2015.
October 3, 2014
FINRA BOARD BUSY AT SEPTEMBER MEETING—FOCUS ON HFT
The September Board meeting of FINRA had a full agenda. The primary focus was on high frequency trading and equity market transparency. One of the more controversial proposal is a new series of registration for persons who set algorithmic strategies. Also on the docket was a new recruiting proposal which…