Market Structure

Gensler seeks to calm nerves following the failure of the Silicon Valley Bank and others

SEC Chairman Gary Gensler has returned to a favorite theme, warning investment advisers and broker-dealers that they must get a handle on predictive data analytics ...

"This trend is concerning. Additionally, as IPOs have declined, so has the pool of potential growth-stage investments available to Main Street investors. The result is ...

Fintech grinds against fiduciary standards

The SEC proposes to update the disclosure required for order executions in national market system stocks

"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 ...

"The Commission’s analysis about the forgone price improvement, the so-called 'competitive shortfall,' ignores the fact that the current market is not static"

"The proposing release acknowledges that wholesalers do generally provide some price improvement relative to national securities exchanges. So what is the need for the proposed rule, ...

"The proposal would implement a modernized, more-flexible definition for round lots"

"The Commission may need to give further thought to its theory of competition in this area of our regulations"