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
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.
|Date||Commenter||Format - Size|
|5/5/2015||IEX Services LLC||PDF - 823.11 KB|
|5/15/2015||AK FE Consultants, LLC||PDF - 140.01 KB|
|5/18/2015||Susquehanna International Group||PDF - 274.49 KB|
|5/18/2015||FIA Principal Traders Group||PDF - 549.85 KB|
|5/18/2015||Temple University Beasley School of Law||PDF - 1.05 MB|
|5/18/2015||Michigan State University College of Law||PDF - 847.24 KB|