Topics covered at this seminar will include regulatory developments related to the trading of equities and derivatives that will affect proprietary trading firms, such as:

  • Possible CFTC rulemaking and enforcement activities concerning manipulation and "disruptive trading practices" under Dodd-Frank
  • Possible CFTC rulemaking concerning position limits under Dodd-Frank
  • New market access requirements under SEC Rule 15c3-5
  • Additional SEC rulemaking stemming from the "Flash Crash"