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Learn more about the mission and work of FIA PTG:

Mission of the FIA Principal Traders Group 

  • Provide a forum for proprietary trading firms to identify and discuss issues confronting the PTG community

  • Define common positions on public policy issues and advance the group’s collective interests through FIA

  • Improve public understanding of the constructive role played by proprietary trading firms in the exchange-traded equities and derivatives markets
  • Promote cost-effective, transparent access to U.S. and non-U.S. markets.

2016 Advocacy Goals

  1. Continue to build relationships with the CFTC and SEC Chairs and Commissioners, particularly since several new officials will be assuming these roles either before or after the 2016 Presidential election.
  2. Continue educational efforts with staff at the CFTC and SEC both generally about our sector of the marketplace, as well as specifically on issues of importance to our group.
  3. Continue to expand relationships with the primary self-regulatory organizations, including NFA and FINRA.
  4. Continue working with other financial regulators on topical issues, such as US Treasury, New York Fed, and the Federal Reserve as needed.
  5. Continue to develop group positions on Treasury market structure and equity market structure reform for dissemination to policymakers.
  6. Since the legislative agenda will be light this year given the Presidential election, maintain key Capitol Hill relationships by updating the relevant Committees on our interactions with the regulators and our positions on regulatory matters of interest.
  7. Specific regulatory initiatives including:
  • Reg AT (CFTC)
  • Treasury market structure (Treasury, Fed, CFTC, SEC)
  • Rules related to disruptive trading practices (CFTC, Exchanges, and SEC)
  • Rules related to broker-dealer and FINRA registration requirements for proprietary trading firms (SEC)
  • Rules related to changes to Regulation NMS (SEC)
  • Continued monitoring of the SEC’s Equity Market Structure Advisory Committee and potential opportunities for engagement
  • Rules related to registration of individuals engaged in the development or supervision of algorithms (FINRA)
  • Rules related to central trading of futures including DCM Core Principle 9, futures block sizes, and EFRPs (CFTC)
  • New regulation and oversight of HFT and/or automated trading systems not mentioned above (CFTC and SEC)
  • Fair access to centrally traded and cleared OTC markets





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