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	<title>BrokerDealer Blog &#187; alternative trading venues</title>
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		<title>Finra Focus On High-Frequency Trading; HFTs Might Need BrokerDealer License</title>
		<link>http://brokerdealer.com/blog/finra-focus-high-frequency-trading-hfts-might-need-brokerdealer-license/</link>
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		<pubDate>Thu, 26 Mar 2015 20:24:24 +0000</pubDate>
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				<category><![CDATA[Uncategorized]]></category>
		<category><![CDATA[alternative trading venues]]></category>
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		<category><![CDATA[high-frequency trading]]></category>
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		<description><![CDATA[<p>BrokerDealer.com blog update profiles the latest shoe to drop as both the US Securities &#38; Exchange Commission (SEC) and Finra contemplate regulatory changes that could require firms engaged in high-frequency trading aka HFT to become registered brokerdealers. Below is excerpt of coverage from FT.com US regulators have moved to close a loophole that allows some [&#8230;]</p>
<p>The post <a rel="nofollow" href="http://brokerdealer.com/blog/finra-focus-high-frequency-trading-hfts-might-need-brokerdealer-license/">Finra Focus On High-Frequency Trading; HFTs Might Need BrokerDealer License</a> appeared first on <a rel="nofollow" href="http://brokerdealer.com/blog">BrokerDealer Blog</a>.</p>
]]></description>
				<content:encoded><![CDATA[<p>BrokerDealer.com blog update profiles the latest shoe to drop as both the US Securities &amp; Exchange Commission (SEC) and Finra contemplate regulatory changes that could require firms engaged in high-frequency trading aka HFT to become registered brokerdealers. Below is excerpt of coverage from FT.com</p>
<p>US regulators have moved to close a loophole that allows some high-frequency trading firms that trade equities away from regulated exchanges to operate with light supervision.</p>
<p>The Securities and Exchange Commission on Wednesday proposed requiring proprietary traders to become members of the Financial Industry Regulatory Authority, a markets regulator.</p>
<p>The change would give authorities greater oversight for the day-to-day operations and recordkeeping for many high-speed traders and electronic market makers who dominate much of trading on US equity markets.</p>
<p>“Today’s proposed rules would close a regulatory gap by extending oversight to a significant portion of off-exchange trading,” said SEC chair Mary Jo White.</p>
<p>It is the first move by the US regulator to tighten monitoring of high-speed electronic traders, which aim to profit from rapid-fire moves in the market, following<a href="http://www.ft.com/intl/cms/s/0/6f514f02-b684-11e3-b230-00144feabdc0.html?siteedition=intl#axzz3VQQQAFNO"> intense scrutiny </a>on the industry a year ago. <em>Flash Boys</em>, a book by author Michael Lewis, alleged that high-frequency traders were among the beneficiaries to a market structure that was “rigged”. That led to calls for <a href="http://www.ft.com/intl/cms/s/0/6f514f02-b684-11e3-b230-00144feabdc0.html?siteedition=intl#axzz3VQQQAFNO">greater oversight </a>of HFTs and off-exchange trading which had been building as equity trading increasingly moved to venues outside the traditional exchanges.</p>
<p>The SEC’s proposal would amend a rule that exempts certain brokers and dealers from membership in a national securities association. The existing rule reflected practices more than two decades ago, when equity markets were dominated by floor-based exchanges which could more easily regulate all of their members’ trading activity.</p>
<p>That world has largely disappeared as the emergence of high-speed technology and alternative trading venueshas helped usher in a new breed of proprietary traders that dominate trading. Although some have registered as broker-dealers at Finra, such as RGM Securities, Quantlab Securities and Tradebot Systems, there are also many that have not.</p>
<p>To read the entire story from FT, <a href="http://www.ft.com/intl/cms/s/0/b02af9de-d31f-11e4-9b0a-00144feab7de.html#axzz3VWHjwOwY">click here</a></p>
<p>The post <a rel="nofollow" href="http://brokerdealer.com/blog/finra-focus-high-frequency-trading-hfts-might-need-brokerdealer-license/">Finra Focus On High-Frequency Trading; HFTs Might Need BrokerDealer License</a> appeared first on <a rel="nofollow" href="http://brokerdealer.com/blog">BrokerDealer Blog</a>.</p>
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