Market Structure

The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to amend Regulation NMS under the Securities Exchange Act of 1934 (“Exchange Act”) to rescind ...

Commissioner Roisman pits market structure against market dynamics

A particular focus of mine is Rule 15c2-11. This rule was designed to ensure that broker-dealers have sufficient information to understand and evaluate securities that ...

The Securities and Exchange Commission (“Commission” or “SEC”) is adopting a new rule of Regulation National Market System (“Regulation NMS”) under the Securities and Exchange Act ...

My office will also work closely with Director Redfearn in connection with the recently announced roundtables regarding equity market structure. My office will be especially ...

A Wall Street fight over credit default swaps that involves an RIA has captured the attention of CFTC staff.   Three agency divisions jointly released ...

Remarks before the SIFMA Equity Market Structure Conference Commissioner Hester Peirce   New York, NY April 18, 2018 Thank you, Randy [Snook], for your kind ...

Remarks at the Equity Market Structure Symposium Sponsored by the University of Chicago and the STA Foundation Chairman Jay Clayton   Chicago April 10, 2018 ...

That first full public meeting of SEC commissioners in years produced unanimous approval of a new proposal calling for a transaction fee pilot study that ...

The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to conduct a Transaction Fee Pilot for National Market System (“NMS”) stocks to study the ...