SEC: Rulemaking

'Digital engagement,' market structure remain Gensler's top priorities

Feedback included calling the proposal “unnecessary and unwarranted,” “overbroad and vague,” and “impracticable”—and that’s just from the comments of the Investment Adviser Association

"The SEC’s regulatory actions on this unified agenda would help make our markets more efficient, resilient, and fair, including through rulemaking items"

The proposed rule would prohibit a restricted competition trading center from internally executing certain orders of individual investors at a price unless the orders are ...

Among the nearly 250 questions the SEC asks the industry in the proposal, more than once the agency touches on its potential fallout on IAs

This is the part of the SEC's proposed new Regulation Best Execution that calls for an annual review

This is a proposed rule under the SEC's Regulation Best Interest that focuses on P&Ps and other obligations

This is the SEC's proposed standard for its best execution proposed rule

The proposed amendments are designed to improve liquidity risk management programs to better prepare funds for stressed conditions and improve transparency in liquidity classifications

"I think investors should have easy access to information that details just how good of a job their brokers are doing. Thus, today’s proposal would ...