In the News:

April 2015
Markets Media published Ms. Fields’ article on Reg SCI and Cybersecurity:
It’s time the Industry Focused on Something Constructive: Reg SCI and Cybersecurity

March 2015
Reg SCI request for guidance for Third Party Broker Dealers
Ms. Fields requests SEC guidance for Third Party Broker Dealers with respect to Reg SCI implementation.

March 2015
Aplomb Comments on BATS Adjustment & Nullification Proposal
BATS Amends Adjustment & Nullification Proposal
Ms. Fields comments to SEC on BATS Adjustment & Nullification Proposal: Missing ISOs, Complex Orders & Exchange System Malfunction language.

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2015 Conferences & Events:

November 12, 2015
Aplomb Strategies continues to support Securities Traders’ Association of New York, please join us at the International Reception.

November 5, 2015
Aplomb Strategies is a founding member of Innovative Markets Power Circle’s (IMPC) Financial Technology Series, which commenced at Debevoise & Plimpton LLP.

May 6–8, 2015
Aplomb Strategies attended the 2015 Options Industry Conference.

April 16, 2015
Aplomb Strategies is proud to sponsor the Securities Traders’ Association of New York—STANY’s 79th Annual Conference & Dinner.