FINRA Chief Vows Vigilance on High-Frequency Trading
In a recent speech, Richard Ketchum, chief executive of FINRA, said that high-frequency trading firms should expect greater surveillance of their operations in 2011. In particular, Mr. Ketchum cited a recent enforcement action brought by FINRA against Trillium Brokerage Services as a "good example" of what to expect.
Please contract the following Cadwalader attorneys if you have any questions about this item:
Steven Lofchie; [email protected]
Glen Barrentine; [email protected]
Publication
The Wall Street Journal
Date
December 20, 2010
Cross Reference (links require a Cabinet subscription)
FINRA enforcement action against Trillium (Sept. 2010)