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One of the greatest lessons we learned during the financial crisis was that both regulators and the public did not understand the risks posed by ...
The transparency that the proposed rule would provide to customers about the handling of their orders also holds great promise. Like our proposal last fall ...
Updating our regulations to remove overlapping or superseded provisions is unlikely to be viewed as cutting-edge, headline-grabbing work. But let that not be a reason ...
In addition to improvements in the reports provided to institutional investors, the proposal would require broker-dealers to provide quarterly reports regarding their retail order routing ...
SEC Commission Kara Stein notes the Commission’s simplification proposal runs more than 500 pages...
Despite its 500 plus page length, this proposal may be framed in such a hyper-technical way that it fails to provide a bonafide opportunity for ...
The Securities and Exchange Commission (“Commission”) is adopting amendments to its Rules of Practice. These changes concern, among other things, the timing of hearings in ...
While the study gives some comfort that more Americans today are on firmer financial footing than in 2012, it also suggests that financial knowledge has ...
The delay in issuing a T+2 proposal is wholly unacceptable. That the rulemaking has languished is not only frustrating to me personally, but is ...
The latest congressional report by the SEC’s Office of the Investor Advocate states that in FY 2017, which begins in October, the office will look ...
The SEC Enforcement Division’s Asset Management Unit is now back to its full complement of two co-chief’s. The Commission has announced that C. Dabney O’Riordan ...