"The final rules also will allow for customer margin collected by broker-dealers to be onward posted to the clearinghouse. Allowing such rehypothecation helps both protect ...
"The Committee will discuss a draft recommendation concerning the Commission’s recent digital engagement practices proposal for investment advisers and broker-dealers. This proposal’s breadth, which the ...
"I would note that under those current rules and interpretation, brokers and advisers cannot address these conflicts of interest through disclosure alone"
"Under both Reg. BI and the fiduciary duty standards, disclosure of a conflict of interest is the starting point to addressing conflicts, but satisfying the ...
"Few things undermine trust in the markets more than insiders abusing their positions for personal advantage, such as by trading using material nonpublic information"
"As we work to advance this agenda, we greatly benefit from public input regarding the economics and the policies themselves"
"It’s because we oversee the U.S. securities markets and have a real role to ensure they remain the most efficient, competitive, and resilient in the ...
"Regulation D, first adopted in the early 1980s, has become one of the most important exemptions for companies looking to raise capital outside of registration. ...
"The accredited investor definition is always a source of lively discussion. I hope that one aspect of today’s discussion will be how we can bring ...
"Increasing access to certain investments should not come at the expense of decreasing the basic investment protections that should be available to all investors"