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The Knowledge Group Has Scheduled a Live Webcast on FINRA’s Guidance for Securities Traders Using Algorithmic Trading Strategies: A Perspective in 2016 Live Webcast

New York, NY, October 23, 2015 --( The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, announced today that it has scheduled a live webcast entitled: FINRA’s Guidance for Securities Traders Using Algorithmic Trading Strategies: A Perspective in 2016 Live Webcast. This two-hour event is scheduled on October 27, 2015 @ 10:00 AM to 12:00 PM ET.

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

Speakers/Faculty Panel

Finn Dixon & Herling LLP
Jeffrey Plotkin

Katten Muchin Rosenman
Ross Pazzol

Proskauer Rose LLP
Harry Frischer

For an updated list of the faculty panel, please visit:

About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Group brings together the world's leading authorities and industry participants through informative two-hour webcasts that study the impact of changing regulations and help businesses succeed through proper regulatory compliance.

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Contact Information
The Knowledge Group
Thomas LaPointe, Jr., Executive Director
Therese Lumbao, Director
Account Management & Member Services

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