October 3, 2022

Volume XII, Number 276

Katten’s Annual Financial Markets Litigation and Enforcement Symposium Series: ET I Market Trading Issues and Hot Topics Panel

Thank you to those who joined Katten’s first panel in the FMLE series, “Futures: Emerging Trends and Enforcement Priorities.” For those who missed the session, please find the materials here. We invite you to join us for the next two webinars in this series for discussions on current regulatory enforcement and litigation issues facing the financial services industry. We will also continue our discussion on the importance of expanding diversity in the financial services legal industry

The panel will address the SEC report on GameStop and meme trading frenzy as well as the best execution obligations of the broker-dealer to use reasonable diligence to ascertain the best market for the security (and buy or sell in such a market so that the resultant price to the customer is as favorable as possible under prevailing market conditions). Further, we will discuss payment for order flow, gamification practices where broker dealers use elements of game playing, such as points or scores, competition or other games to encourage online trading or engagement, as well as the role of social media and influencers in this space.