IA Speeches

"What adds to my concern is that securities that trade in the OTC market are primarily owned by and marketed to retail investors"
"I am pleased that the infrastructure proposal would introduce, for the first time, competitive forces into the model for processing and distributing NMS market data"
"Broker-dealers and investment advisers should review their operations to be sure they are making recommendations or providing investment advice to retail investors that is in ...
"For various reasons, including the emergence of new areas of focus as a result of the general and sector-specific effects of COVID-19, it is important ...
Elad Roisman
"I hope you will consider the effects of new drivers of price formation such as, exchange-traded funds (“ETFs”) and portfolio trading"
Hester Peirce
"My hope is that we can learn from what we saw in those markets during the COVID-19 crisis to identify regulatory changes that will help ...
Jay Clayton
I look forward to hearing the Committee’s insights into the effects of the pandemic on the asset management industry and, in particular, our long-term Main ...
Jay Clayton
I echo the staff’s reminder to market participants that any actions taken by a board of a fund, including with regard to control share statutes, ...
My views and support for effective disclosure on “decision useful” information, including the modernization of financial disclosures ... are not new to you"
"The rules create significant risks arising from reduced transparency for investors and potentially facilitating increased economic concentration, the latter risk being especially acute for small ...
Hester Peirce
"Let’s keep using our tried and true disclosure framework, which is rooted in materiality and is flexible enough to accommodate a wide range of issuers, ...
It is no surprise we have observed the presence of uncertainty regarding the financial and operating status of companies and municipal issuers
We are consulting with a wide array of experts and stakeholders with diverse perspectives, including investment advisers, including those that manage mutual funds and hedge ...
The Committee is monitoring the investment adviser and investment company space for failures to honor redemption requests at both private funds and registered investment companies
Hester Peirce
I also look forward to the hearing your observations on shareholder engagement at the virtual shareholder meetings that have been held since the pandemic began
The virtual meeting format is something that many companies may have not attempted before.  I look forward to your insights into potential practices that companies ...
Boards would have to ensure that investment advisers report no less than quarterly on a range of issues
Elad Roisman
To the extent any of these market participants are registered investment advisers under the SEC’s jurisdiction, I believe it is important that we identify any ...
Hester Peirce
We have created a regulatory Catch 22.  Would-be networks cannot get their tokens out into people’s hands because their tokens are potentially subject to the ...
Elad Roisman
Institutional investors and asset managers are not the only investors that the SEC is charged to protect
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