Dec 9, 2025 · As algorithmic trading strategies, including high frequency trading (HFT) strategies, have grown more widespread in U.S. securities markets, the potential for these strategies to adversely …

Scope of “Algorithmic Trading Strategy” Under the rule, an “algorithmic trading strategy” is an automated system that generates or routes orders (including sending orders for routing and order-related …

Jun 6, 2016 · Scope of "Algorithmic Trading Strategy" Under the rule, an "algorithmic trading strategy" is an automated system that generates or routes orders (including sending orders for routing and order …

Mar 26, 2015 · Executive Summary As algorithmic trading strategies, including high frequency trading (HFT) strategies (hereinafter referred to collectively as "algorithmic strategies"), have grown to …

Executive Summary As algorithmic trading strategies, including high frequency trading (HFT) strategies (hereinafter referred to collectively as “algorithmic strategies”), have grown to compose a substantial …

Mar 19, 2015 · 8 Where a member engages a third-party to build an algorithmic trading strategy, the associated person directing the third-party in the design and development of the algorithmic trading …

Jul 11, 2019 · The use of AI-based applications is proliferating in the securities industry and transforming various functions within broker-dealers. Some large firms have established centers of excellence to …

Jun 10, 2020 · Artificial Intelligence (AI) technology is transforming the financial services industry across the globe. Financial institutions are allocating significant resources to exploring, developing, and …

development of the algorithmic trading strategy or are not responsible for the day-to-day supervision or direction of others on the team.13 Under this scenario, the person on the business side that is …

High-Frequency Trading This section is required if high-frequency trading represents a material aspect of your overall business.