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Market Structure (31)
Your search for Market Structure returned 31 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...
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...
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...
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...
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...
9/15/2016 | 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...
8/02/2016 | Content area: Investment Adviser | Broker-Dealer
The Customer Issues subcommittee has noted that it will provide specific comments on the Commission’s recent proposal, and today’s recommendations bef...
8/02/2016 | Content area: Investment Adviser | Broker-Dealer
In my mind, the investor testing contemplated in the Subcommittee’s recommendation would be valuable not because it could improve investor confidence,...
6/02/2016 | Content area: Investment Adviser
The Commission is now in the midst of another significant phase of market structure review, as technology advancements continue to accelerate the pace...
3/01/2016 | Content area: Investment Adviser
Where do we go from here? The SEC needs to evaluate the cumulative impact of all of these new rules on the securitization markets. Already, the amou...
2/19/2016 | Content area: Investment Adviser
I would argue that the NYSE listing standards, and especially their quantitative standards, have tended to drift downward like a leaf in autumn—or, to...
2/02/2016 | Content area: Investment Adviser | Broker-Dealer
Your discussion this morning on market volatility and the events of August 24 is both important and timely. As you know, a key element of the SEC’s a...
2/02/2016 | Content area: Investment Adviser | Broker-Dealer
The Staff’s research note regarding trading on August 24, 2015 is an excellent jumping off point for this morning’s discussions.[1] The events of Aug...
11/09/2015 | Content area: Investment Adviser | Broker-Dealer
All across the capital markets, technology and innovation are challenging the old ways of transacting business and old ways of thinking about regulati...
11/02/2015 | Content area: Investment Adviser | Broker-Dealer
First, we will remain diligent in looking at various trading venues, including dark pools. Dark pools currently do not have the same disclosure obliga...
10/20/2015 | Content area: Investment Adviser | Broker-Dealer
A critical aspect of our current regulatory efforts with respect to operational integrity relates specifically to the overwhelming dominance of tradin...
9/30/2015 | Content area: Investment Adviser
In recent years, our securities markets have undergone rapid and significant transformation. Just as with a volcano, the forces of change have largel...
7/16/2015 | Content area: Investment Adviser | Broker-Dealer
The financial crisis, however, brought into sharp focus the tremendous risks and costs associated with a protracted settlement cycle. The need to bett...


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