Regulatory Notice 15-06

FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies

Comment Period Expires: May 18, 2015

Executive Summary

FINRA is soliciting comment on a proposal to require registration as a Securities Trader of associated persons primarily responsible for the design, development or significant modification of algorithmic trading strategies, or who are responsible for supervising or directing such activities. The proposed rule text is attached as Attachment A.

Questions regarding this Notice should be directed to:

  • Susan Tibbs, Vice President, Market Regulation, at (240) 386-5082;
  • John Kalohn, Vice President, Testing & Continuing Education, at (240) 386-5800; or
  • Racquel Russell, Associate General Counsel, Office of General Counsel, at (202) 728-8363.
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments: 
DateCommenterFormat - Size
5/5/2015IEX Services LLCPDF - 823.11 KB
5/15/2015AK FE Consultants, LLCPDF - 140.01 KB
5/18/2015Susquehanna International GroupPDF - 274.49 KB
5/18/2015FIA Principal Traders GroupPDF - 549.85 KB
5/18/2015Temple University Beasley School of LawPDF - 1.05 MB
5/18/2015Michigan State University College of Law PDF - 847.24 KB