Market Structure

Last fall the commission issued an advanced notice of proposed rulemaking that laid out three different cross-border approaches it could take. The comment file appears ...

It is well past time for an objective and dispassionate review of our equity market structure. This review must be fearless and searching. Too much ...

The Commission is adopting new Regulation Systems Compliance and Integrity (Regulation SCI) under the Securities Exchange Act of 1934 (Exchange Act) and conforming amendments to ...

Given technology’s role in the securities industry and troubling IT events, such as the flash crash, SEC commissioners voted Nov. 19th to adopt Regulation SCI. ...

The SEC's rule that requires firms to place controls on their clients' access to the markets is staying largely on schedule, but the Commission recently ...

Even before the rapid market slide of May 6thSEC Commissioners sought to review "whether market structure rules have kept pace with ... changes in trading ...

Their respective staffs have put countless hours into understanding what caused the Dow's plunge on May 6 but a definite answer has proven elusive. At ...

The SEC is giving the industry 10 days to comment on a proposed rule that would pause trading in an individual stock if its price ...

In letters and speeches, investment industry advocates are lobbying Congress on how to pursue a potential harmonization of regulations governing investment advisers and broker-dealers. IA ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PART 242[Release No. 34-53829; File No. S7-10-04]Regulation NMSAGENCY:Securities and Exchange Commission.ACTION:Final rule; extension of compliance dates.SUMMARY:The Commission is extending the ...