A free virtual panel for broker dealers and investment advisors on industry hot topics or trends. These sessions are intended to be brief summaries of topics selected from recent enforcement actions or other relevant industry releases.
Trade Desk Surveillance
February 5, 2025
12:00-12:30 Central
Moderator:
Kat Miller from TRADEliance
Panelists:
Jesy LeBlanc from TRADEliance
Pravin Khanolkar from EQUBE
About this Panel
TRADEliance has observed Trade Desk Surveillance as an enforcement trend during the past year. Additionally, FINRA included Manipulative Trading in their Annual Regulatory Oversight Report for 2023 and 2024.
This panel is intended to provide education about this topic and share best practices.
This panel is designed to:
- Review Applicable Rules and Enforcement Trends
- Share best practices
- Share insights and solutions