I am greatly disappointed that the proposal does not exclude smaller reporting companies from the disclosure requirement. Shares of smaller reporting companies are generally less ...
As market participants reevaluate how they will find stable sources of liquidity in a world of decreasing dealer inventories, a whole host of market-based solutions ...
Internationally, we must find a new way: we must swap our regulatory hubris for humility, and work to find common ground with our international counterparts ...
The speed and interconnectedness in our markets provides a number of benefits. However, we also know that when software or computers fail, they can ...
The key is that regulation must be smart. Dumb regulation manifests itself in a variety of ways: it puts pointless burdens on business, fails to ...
NASAA and the SEC have a long history of working together to provide a robust regulatory environment for businesses to grow and to protect the ...
Bank Regulators at the Gates: The Misguided Quest for Prudential Regulation of Asset Managers: Remarks at the 2015 Virginia Law and Business Review Symposium
Opening Remarks to the Investor Advisory Committee
This speech from 2001 outlines SEC expectations for best execution and valuation, especially for fund advisers
Statement on Jury Verdict in Trial Of George Levin Who Raised $157 Million for Scott Rothstein’s Ponzi Scheme