{"id":5419,"date":"2013-01-10T00:00:00","date_gmt":"2013-01-10T06:00:00","guid":{"rendered":"https:\/\/institutionalinvestorsecuritiesblog.blawgcloud.com\/2013\/01\/finra_to_take_closer_look_at_h_1"},"modified":"2022-05-02T15:45:14","modified_gmt":"2022-05-02T20:45:14","slug":"finra-to-take-closer-look-at-h-1","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-to-take-closer-look-at-h-1\/","title":{"rendered":"FINRA To Take Closer Look at High-Frequency and Algorithmic Trading, Will Continue to Monitor Private Placements, Complex Products, and Other Areas"},"content":{"rendered":"

This month, the Financial Industry Regulatory Authority announced that it would be placing \u201csignificant resources\u201d into monitoring high-frequency and algorithmic trading. The SRO said that following a number of market disruptions last year, it is worried about the way firms oversee these two systems.<\/p>\n

In its yearly examination and regulatory priorities letter, FINRA spoke about how despite the fact that many high-frequency trading strategies are legitimate, others can be employed for purposes that are volatile, which is why the SRO wants to keep surveillance of this a priority and make sure that abusive trading doesn\u2019t happen.<\/p>\n

FINRA also said that it wants to take a closer look at alternative trading systems due to disclosure and operational concerns and high volume trading. It is examining firms that run ATS, as well as their affiliates. The SRO wants to figure out whether firms are accurately and consistently representing and disclosing different parts of their ATS operations to subscribers. Sweep letters were sent by FINRA to broker-dealers inquiring about ATSs in August.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

This month, the Financial Industry Regulatory Authority announced that it would be placing \u201csignificant resources\u201d into monitoring high-frequency and algorithmic trading. The SRO said that following a number of market disruptions last year, it is worried about the way firms oversee these two systems. In its yearly examination and regulatory priorities letter, FINRA spoke about […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3739],"tags":[],"class_list":["post-5419","post","type-post","status-publish","format-standard","hentry","category-finra"],"yoast_head":"\nFINRA To Take Closer Look at High-Frequency and Algorithmic Trading, Will Continue to Monitor Private Placements, Complex Products, and Other Areas — Investor Lawyers Blog — January 10, 2013<\/title>\n<meta name=\"description\" content=\"This month, the Financial Industry Regulatory Authority announced that it would be placing \u201csignificant resources\u201d into monitoring high-frequency and — January 10, 2013\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link 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