Market Structure

I believe it’s appropriate to look at ways to freshen up the SEC’s rules to ensure that our equity markets reflect our mission: to maintain ...

"We need to build on this foundation, so people should be coming to us with suggestions of educational credentials, examinations, or professional certifications and designations ...

Market participants—including broker-dealers, exchanges, and RIAs—self-aggregate proprietary market data today. The Commission is adopting this provision to allow these market participants to aggregate consolidated market ...

"A better approach is to keep open different avenues for investors to access the markets, but ensure that disclosures are good, warn investors of the ...

"The anti-Wall Street sentiments coursing through the market events of recent weeks and the growing realization of the power that private and public centralized entities ...

"The Commission will closely review actions taken by regulated entities that may disadvantage investors or otherwise unduly inhibit their ability to trade certain securities"

"We are aware of and actively monitoring the on-going market volatility in the options and equities markets...we are working with our fellow regulators to assess ...

The TRACE data is a key tool in facilitating assessments of market dynamics, effective market oversight, and improved market transparency

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