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Market Structure

The Commissioner urges better protections for retail investors and encourages investing in public companies given the risk of these investors pursuing private investments
Private funds raised more than $11 trillion of the $15.5 trillion sold in Regulation D markets during 2009 through 2019
After considering the comments received on the Proposal to rescind the Fee Exception,6 the Commission has determined that the Fee Exception is no longer appropriate ...
"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

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