Compliance and Trade Surveillance Considerations

The Securities and Exchange Commission (SEC) has issued four rule proposals with significant implications to the existing equity market structure in the United States. Our team of regulatory experts outlined how two of these proposed rules could impact trade surveillance.

Key insights include:

• An analysis of the "Order Competition" (auction for retail trades) and "Minimum Price Increment" proposed rules
• Technical aspects of these proposals including exceptions and requirements for broker-dealers
• 6 ways compliance trade surveillance teams could be impacted and guidance on how to prepare

Protect your firm from risk with these insights.