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Ross David Carmel, Esq., Partner at Carmel, Milazzo & Feil LLP discusses the impact of the DOL fiduciary rule on small broker dealers and how to address the new standards in InvestmentNews

http://www.investmentnews.com/article/20160504/BLOG09/160509969/the-dol-fiduciary-rules-effect-on-small-broker-dealers …

Continue Reading about Ross David Carmel, Esq., Partner at Carmel, Milazzo & Feil LLP discusses the impact of the DOL fiduciary rule on small broker dealers and how to address the new standards in InvestmentNews →

FINRA Seeks to Require Registration of Persons Who Develop Algorithmic Trading Strategies

FINRA has filed a proposed rule with the Securities and Exchange Commission (“SEC”) that would require associated persons of FINRA member firms who are responsible for the design, development or …

Continue Reading about FINRA Seeks to Require Registration of Persons Who Develop Algorithmic Trading Strategies →

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