Manipulative and Deceptive Trading Practices | Practical Law

Manipulative and Deceptive Trading Practices | Practical Law

A Practice Note reviewing trends and changes in the regulation and prevention of manipulative and trading practices. Specifically, this Note reviews existing regulations contained in the Financial Industry Regulatory Authority (FINRA) Rules, Securities Exchange Act of 1934, and Securities Act of 1933 that govern manipulative and deceptive trading practices, including prohibitions and regulation of certain algorithmic and high frequency trading practices.

Manipulative and Deceptive Trading Practices

Practical Law Practice Note w-010-5065 (Approx. 10 pages)

Manipulative and Deceptive Trading Practices

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
A Practice Note reviewing trends and changes in the regulation and prevention of manipulative and trading practices. Specifically, this Note reviews existing regulations contained in the Financial Industry Regulatory Authority (FINRA) Rules, Securities Exchange Act of 1934, and Securities Act of 1933 that govern manipulative and deceptive trading practices, including prohibitions and regulation of certain algorithmic and high frequency trading practices.