Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information)
February 11, 2016
Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies
FINRA handles more than 99 percent of the securities-related arbitrations and mediations in the U.S. through its network of more than 70 hearing locations, including at least one in all 50 states, Puerto Rico and London.
FINRA's Dispute Resolution division maintains a roster of more than 6,400 arbitrators and nearly 250 mediators around the country