IA Speeches

"The Commission will closely review actions taken by regulated entities that may disadvantage investors or otherwise unduly inhibit their ability to trade certain securities"

"The EC’s decision is an important first step on the road to providing greater regulatory certainty for CCPs and their members on both sides of ...

"We are aware of and actively monitoring the on-going market volatility in the options and equities markets...we are working with our fellow regulators to assess ...

The TRACE data is a key tool in facilitating assessments of market dynamics, effective market oversight, and improved market transparency

The ICO concluded that the UK GDPR does not impose legal barriers to the transfer of personal data from these entities directly to the SEC ...

"If the Commission were to put into place a program such as the one contemplated by OLC’s 2012 opinion, any such program would have to ...

"Pre-review is the best and most logical way to reduce the risk of advisers’ using advertisements that could mislead clients and prospective clients. However, certain ...

"Although advisers often find comfort in specifics that provide a roadmap to compliance, specificity can usurp advisers’ ability to exercise judgment about how best to ...

"This rule will allow advisers to advertise using testimonials and endorsements, unlike the current rule.  While their ability to use such tools will not be ...

The Division’s new name reflects the important role that its expert staff play in support of the SEC’s mission to protect investors, maintain fair, orderly, ...