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Market Structure

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Dual-Class Shares: A Recipe for Disaster Rick Fleming Investor Advocate   ICGN Miami Conference, Miami, Florida Oct. 15, 2019 Thank you, Kerrie Waring, for your ...
The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to amend Regulation NMS under the Securities Exchange Act of 1934 (“Exchange Act”) to rescind ...
Elad Roisman
Commissioner Roisman pits market structure against market dynamics
A particular focus of mine is Rule 15c2-11. This rule was designed to ensure that broker-dealers have sufficient information to understand and evaluate securities that ...
The Securities and Exchange Commission (“Commission” or “SEC”) is adopting a new rule of Regulation National Market System (“Regulation NMS”) under the Securities and Exchange Act ...
My office will also work closely with Director Redfearn in connection with the recently announced roundtables regarding equity market structure. My office will be especially ...
A Wall Street fight over credit default swaps that involves an RIA has captured the attention of CFTC staff.   Three agency divisions jointly released ...
Remarks before the SIFMA Equity Market Structure Conference Commissioner Hester Peirce   New York, NY April 18, 2018 Thank you, Randy [Snook], for your kind ...
Remarks at the Equity Market Structure Symposium Sponsored by the University of Chicago and the STA Foundation Chairman Jay Clayton   Chicago April 10, 2018 ...
That first full public meeting of SEC commissioners in years produced unanimous approval of a new proposal calling for a transaction fee pilot study that ...
The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to conduct a Transaction Fee Pilot for National Market System (“NMS”) stocks to study the ...
This matter involves several episodes in which the NYSE Exchanges engaged in certain business practices without having in place required and effective rules; operated in ...
We need to ask if our rule set has kept pace. For example, increasingly, a second layer of separation between ownership and control has ...
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 ...
Not only is coordination between and among regulators and government authorities critical—but coordination and open communication between regulators and the various participants in the markets ...
The trading liquidity of U.S. Treasuries and their associated futures contracts is of particular interest: Treasuries are a benchmark for other U.S. and world markets, ...
After considering our market structure accomplishments over the past few years, and the potential we have for work in this space given the Commission’s current ...
Over a half-century removed from the last comprehensive review of market structure, a new study of the securities markets is targeted for completion in 2020. ...
Securities regulation is not an area where great minds always think alike. The 1963 Special Study sparked the equivalent of a contemporary Twitter war between ...
As we enter the new year and, perhaps, a new regulatory environment, I believe regulators and others with responsibility for financial markets must do the ...
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