"We want to work with advisers, investment companies, and other market participants to enable new technologies to come online, and to work with you on ...
"Fragmented regulation in an integrated market is not a safeguard for investors so much as a source of confusion among them"
"Investment advisers that determine proxy voting is not required by, or may even be inconsistent with, their investment program should not be afraid to take ...
"We join our colleagues across the agency in thanking Commissioner Crenshaw for her service and in wishing her every success in the chapters ahead"
"We continue our close collaboration with the U.S. Treasury Department, Federal Reserve Board, CFTC, and international regulatory counterparts to ensure seamless cross-border implementation"
"Trading platforms and market participants need to be able to operate under the certainty of clear market structure rules that facilitate fair and orderly markets ...
"This statement provides clarity about the Division’s views to broker-dealers seeking to provide custody services to their customers"
"Reg NMS, built on flawed foundations, has invited gamesmanship and contributed to the fragmentation of our markets, the dispersal of liquidity, and diminished transparency. The ...
"I have been a skeptic of Rule 611 since its inception twenty years ago. Dictating how market participants execute trades has never seemed like an ...
"The Commission should have compelling evidence of need before adding layers on top of the best execution regime already imposed by FINRA"