Market Structure

"The recent frustration and confusion surrounding the exercise of put options on Silicon Valley Bank and Signature Bank stocks when trading was halted demonstrated that ...

"I am hopeful that broker-dealers and clearing agencies will make efforts to assist retail investors in exercising their options if the investors wish to do ...

While the impact of the failures of Silicon Valley and Signature banks on the larger economy remains uncertain, pain has trickled down upon the banks’ ...

"The events of the last week are a reminder of the importance of these resiliency projects for everyday Americans"

Gensler seeks to calm nerves following the failure of the Silicon Valley Bank and others

SEC Chairman Gary Gensler has returned to a favorite theme, warning investment advisers and broker-dealers that they must get a handle on predictive data analytics ...

"This trend is concerning. Additionally, as IPOs have declined, so has the pool of potential growth-stage investments available to Main Street investors. The result is ...

Fintech grinds against fiduciary standards

The SEC proposes to update the disclosure required for order executions in national market system stocks

"I think investors should have easy access to information that details just how good of a job their brokers are doing. Thus, today’s proposal would ...