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Market Structure (65)
Your search for Market Structure returned 65 results.
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3/08/2019 | Content area: Investment Adviser | Broker-Dealer
A particular focus of mine is Rule 15c2-11. This rule was designed to ensure that broker-dealers have sufficient information to understand and evaluat...
12/19/2018 | Content area: Broker-Dealer
The Securities and Exchange Commission (“Commission” or “SEC”) is adopting a new rule of Regulation National Market System (“Regulation NMS”) under th...
9/19/2018 | Content area: Investment Adviser
My office will also work closely with Director Redfearn in connection with the recently announced roundtables regarding equity market structure. My of...
4/26/2018 | Content area: CPO/CTA
A Wall Street fight over credit default swaps that involves an RIA has captured the attention of CFTC staff.   Three agency divisions jointly released...
3/15/2018 | Content area: Broker-Dealer
That first full public meeting of SEC commissioners in years produced unanimous approval of a new proposal calling for a transaction fee pilot study t...
3/14/2018 | Content area: Broker-Dealer
The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to conduct a Transaction Fee Pilot for National Market System (“NMS”) stoc...
3/06/2018 | Content area: Broker-Dealer
This matter involves several episodes in which the NYSE Exchanges engaged in certain business practices without having in place required and effective...
1/19/2018 | Content area: Investment Adviser
We need to ask if our rule set has kept pace. For example, increasingly, a second layer of separation between ownership and control has opened betwee...
1/19/2018 | Content area: Investment Adviser
As we move forward, then, we have to ask ourselves whether in recent years the underlying strengths of the American corporate form are fully being uti...
11/28/2017 | Content area: Investment Adviser
Not only is coordination between and among regulators and government authorities critical—but coordination and open communication between regulators a...
11/28/2017 | Content area: CPO/CTA
The trading liquidity of U.S. Treasuries and their associated futures contracts is of particular interest: Treasuries are a benchmark for other U.S. a...
10/26/2017 | Content area: Broker-Dealer
After considering our market structure accomplishments over the past few years, and the potential we have for work in this space given the Commission’...
3/30/2017 | Content area: Broker-Dealer
Over a half-century removed from the last comprehensive review of market structure, a new study of the securities markets is targeted for completion i...
3/23/2017 | Content area: Investment Adviser
Securities regulation is not an area where great minds always think alike. The 1963 Special Study sparked the equivalent of a contemporary Twitter war...
12/09/2016 | Content area: CPO/CTA
As we enter the new year and, perhaps, a new regulatory environment, I believe regulators and others with responsibility for financial markets must do...
12/01/2016 | Content area: Broker-Dealer
The SEC will be able to continue to tap the collective insight of a variety of financial services industry pros on equity market structure issues afte...
11/29/2016 | Content area: Investment Adviser
As we begin the transition process to new leadership at the Commission and to having a full Commission, we need to ensure continuity of all of the age...
9/26/2016 | Content area: Broker-Dealer
Merrill Lynch violated the Market Access Rule by failing to establish, document, and maintain a system of risk management controls and supervisory pro...
9/15/2016 | Content area: Investment Adviser | Broker-Dealer
I want to focus the public’s attention on the fact that this year’s Rule List includes Regulation NMS. When Regulation NMS was adopted, there was unif...
9/14/2016 | Content area: Broker-Dealer
One such element that is widely discussed is the “maker-taker” fee structure used by the highest volume exchanges to charge access fees to brokers for...


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