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The proposed shift addresses the current impact of Exchange Act rule 15c3-1 (net capital rule) on settlement timing, particularly on smaller firms
"I think that all of us, coming together and building upon the consensus reached in the public sector, private sector, and academia, can continue to ...
The notorious GameStop raid that knocked world markets on their haunches was just what it appeared to have been: a bunch of self-described “degenerates” having ...
Sideletter
"We have been very fortunate that for the most part, when broker-dealers have been forced to shut down and unwind operations, customer accounts have been ...
"Today, the staff of the Securities and Exchange Commission published a report on the “meme stock” events of winter 2021, and how these events affected ...
"Today, the staff of the Securities and Exchange Commission published a report on the “meme stock” events of winter 2021, and how these events affected ...
"Surprisingly, the report turned into an account of those events awkwardly intertwined with discussions of market practices and policies that mirror Commission-level conversations unrelated to ...
We could see “herding, interconnectedness, and concentration” that could “lead to system-wide issues,” warned Gensler. He cited the “herding” seen in “subprime mortgages before the ...
Prepared testimony before the House Financial Services Committee. SEC Chair Gary Gensler   Oct. 5, 2021 Good afternoon, Chairwoman Waters, Ranking Member McHenry, and members ...
Effective compliance and risk management at financial institutions doesn’t just protect those institutions and their shareholders, it also helps make financial markets more resilient
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