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"Best execution is a nuanced concept .... Of course, no discussion of best execution in the current market environment can disregard the incentives created by ...
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 ...
Sideletter
Broker-dealers have a legal duty to seek to obtain best execution of customer orders....for several years now I have advocated for the Commission to provide ...
Sideletter
"The SEC Chair has made clear that further ESG disclosure is an area that the agency will pursue.[8]  So, I want to take this opportunity ...
IPOs and SPACs, crypto assets, fintech, data analytics, and private funds are SEC resources focus
DOE just missed its goal of examining 16% of RIAs in FY 2020, scrutinizing 15% of the RIA population. The plan estimates that DOE will ...
"I am now directing the staff to consider whether to recommend further regulatory action regarding proxy voting advice"
Elad Roisman
"We find it difficult, however, to imagine what has changed in the roughly ten months since the Commission last considered this issue that would call ...
The staff will not recommend any enforcement action based on those conditions for a reasonable period of time after any resumption by Institutional Shareholder Services ...
Investment adviser examinations and coverage will be a continued focus for the Commission during FY 2021 and FY 2022
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