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Market Structure

"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"
Elad Roisman
"I hope you will consider the effects of new drivers of price formation such as, exchange-traded funds (“ETFs”) and portfolio trading"
The proposed amendments also will help to ensure that the Participants fulfill their obligations to deliver a functional CAT on a reasonably achievable timeframe
This relief will provide Introducing Industry Members with additional time to prepare effectively for certain CAT reporting phases
Order Granting Conditional Exemptive Relief Governing the Consolidated Audit Trail
The current turbulence in the markets will eventually subside
The proposal could update the national market system for the collection, consolidation, and dissemination of information with respect to quotations for and transactions in stocks
Headshot of Rick Fleming
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 ...
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