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SEC Commissioner Crenshaw
"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 ...
SEC Commissioner Crenshaw
"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 ...
High quality 3d rendering of a sandstone 'BANK' sign breaking up with cracks
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’ ...
SEC Chairman Gary Gensler
"The events of the last week are a reminder of the importance of these resiliency projects for everyday Americans"
SEC Chairman Gary Gensler
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 ...
SEC Commissioner Uyeda
"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
Listen to a secret
The SEC proposes to update the disclosure required for order executions in national market system stocks
SEC Chairman Gary Gensler
"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 ...

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