The Knowledge Group
The Knowledge Group

Ross Pazzol, Partner, Katten Muchin Rosenman at the Knowledge Group’s Webcast

New York, NY, August 25, 2015 --( The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Ross Pazzol, Partner, Katten Muchin Rosenman will speak at the Knowledge Group’s webcast entitled: “FINRA’s Administration Guidance for Securities Traders Using Algorithmic Trading Strategies: A Perspective in 2016 LIVE Webcast.” This event is scheduled for October 27, 2015 @ 10:00 AM to 12:00 PM ET.

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About Ross Pazzol

Ross Pazzol’s practice encompasses a broad range of financial services matters. He focuses primarily on the regulation of broker-dealers, futures commission merchants, investment companies and hedge funds, clearinghouses and investment advisers.

Ross has significant experience in all aspects of exchange-traded and over-the-counter derivatives transactions as well as securities financing and lending arrangements, and assists clients in understanding the documentation issues and regulatory and credit considerations that arise in connection with these transactions. He also represents hedge funds, commodity pools and proprietary trading firms in a wide variety of corporate and regulatory matters, and advises financial services firms on mergers and acquisitions, private securities offerings and general employment matters.

Ross began his career in the US Securities and Exchange Commission’s Division of Market Regulation.

About Katten Muchin Rosenman

Katten’s founding attorneys sought to create an entrepreneurial law firm, providing not just excellent legal services but also a deep understanding of business and industry paired with superb client service.

Event Synopsis:

Today, Algorithmic Trading Strategies account for a substantial portion of market analysis on US securities markets. The potential for such methods to affect the market are substantial. As a result, in March 2015, the Securities and Exchange Commission (SEC) proposed an amendment to Rule 15b9-1 under the Securities Exchange Act of 1934 requiring active proprietary securities trading firms to become members of the Financial Industry Regulatory Authority (FINRA). The current rule has allowed many firms that operate a proprietary trading business to avoid FINRA regulation.

FINRA also proposed enhancing regulatory oversight of members involved in high frequency trading. It would require all members involved in the design, development, or modification of algorithmic trading strategies to register as Securities Traders and be regulated. The guidance covers risk assessment and response, trading systems, regulatory compliance, and software and code development and implementation, testing, and validation.

This Live Knowledge Group CLE course offers securities market participants an overview of the latest trends, critical updates, and important changes in FINRA’s Administration Guidance for Securities Traders Using Algorithmic Trading Strategies. The panel of distinguished professionals will discuss the implications of the latest regulatory notice guidance and offer best practices to ensure compliance with FINRA rules.

Key topics include:

- Algorithmic Trading – Potential Effect on Securities Markets
- FINRA’s Algorithmic Strategies Rule
- Risk Assessment and Response
- Software & Code Development and Implementation
- Software Testing and System Validation
- Trading Systems
- Compliance
- Rule 5210 on Publication of Transactions and Quotations
- Rule 2010 on Standards of Commercial Honor and Principles of Trade
- Rule 6140 (Other Trading Practices)
- FINRA Rules – Implications to Securities Trading Firms
- Compliance and Litigation Risks
- Best Practices for Securities Traders

About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series

The Knowledge Group, LLC was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit:
The Knowledge Group
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Therese Lumbao, Director
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