The new forms we are adopting today will modernize how funds report portfolio and census information to both the Commission and the public. Second, today’s ...
I have several investor protection concerns with the swing pricing recommendation. As I mentioned when swing pricing was proposed, and as is pointed out in ...
I have settled on three topics for today – one regulatory, one supervisory, and one from the enforcement space. The first topic is the ...
I want to focus the public’s attention on the fact that this year’s Rule List includes Regulation NMS. When Regulation NMS was adopted, there was ...
It is important for participants in misconduct to understand that, in many circumstances, they are eligible for awards and we would like to hear from ...
I think it is worth asking whether the tax benefits of municipal bonds, which were presumably intended (at least in part) to incentivize investment in ...
I have serious concerns, on due process and other grounds, about the Commission imposing sanctions that are neither requested by the Division nor found by ...
The Customer Issues subcommittee has noted that it will provide specific comments on the Commission’s recent proposal, and today’s recommendations before the Committee also touch ...
In my mind, the investor testing contemplated in the Subcommittee’s recommendation would be valuable not because it could improve investor confidence, but because it could ...
Requiring banks to provide the information I have just discussed to the Commission and investors would likely reduce the fear that many investors and regulators, ...