Shipkevich Bitcoin and ICO Attorney

FINRA

Felix Shipkevich July 19, 2013

In response to several high profile anomalies in the trading market due to High Frequency Trading (HFT) in the past year, the Finance Industry Regulatory Authority (Finra) has been looking into several trading firms with how they use and control their trading algorithms.

Felix Shipkevich May 7, 2012

An SEC official said Thursday that the commission is close to proposing new rules for a consolidated audit trail of activity across national stock exchanges, calling it “a top priority.” The proposed changes are expected to hit high-frequency trading firms hardest. That’s because costs of the consolidated audit trail, or CAT, would be spread across […]

Felix Shipkevich April 27, 2012

22 senators wrote a letter to five federal agencies Thursday, calling for regulators to adopt a final Volcker rule free from loopholes and Wall Street concessions. “You have no doubt heard, as we have, from those who would like us to forget the causes of the financial crisis and forget the causes of the financial […]

Felix Shipkevich July 15, 2011

Defense counsel for disgruntled former hedge-fund manager and commodities trader Vincent P. McCrudden will argue before a judge that he should be allowed to show evidence of financial conspiracy theories at his trial next week. McCrudden has been charged with “transmission of threats to injure” after sending vicious threats to 47 current and former officials […]

Felix Shipkevich September 20, 2010

U.K.’s Financial Services Authority (FSA) and the U.S.’s Financial Industry Regulatory Authority (FINRA) enter into a Memorandum of Understanding (MOU) today whereby the two countries agree to facilitate exchange information on firms and individuals under their supervision, support collaboration on investigations and enforcement matters, and allow further sharing of regulatory techniques including approaches to risk-based […]

Felix Shipkevich June 11, 2009

FINRA and IIROC remind firms of their sales practice obligations with regards to leveraged and inverse ETFs. ETFs that are designed to achieve investment objectives on a daily basis may not be suitable for many investors, and should not be marketed as if they were designed to positively or negatively track an underlying index or […]