Market Structure

The current turbulence in the markets will eventually subside

The proposal could update the national market system for the collection, consolidation, and dissemination of information with respect to quotations for and transactions in stocks

Dual-Class Shares: A Recipe for Disaster Rick Fleming Investor Advocate   ICGN Miami Conference, Miami, Florida Oct. 15, 2019 Thank you, Kerrie Waring, for your ...

The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to amend Regulation NMS under the Securities Exchange Act of 1934 (“Exchange Act”) to rescind ...

Commissioner Roisman pits market structure against market dynamics

A particular focus of mine is Rule 15c2-11. This rule was designed to ensure that broker-dealers have sufficient information to understand and evaluate securities that ...

The Securities and Exchange Commission (“Commission” or “SEC”) is adopting a new rule of Regulation National Market System (“Regulation NMS”) under the Securities and Exchange Act ...

My office will also work closely with Director Redfearn in connection with the recently announced roundtables regarding equity market structure. My office will be especially ...

A Wall Street fight over credit default swaps that involves an RIA has captured the attention of CFTC staff.   Three agency divisions jointly released ...

Remarks before the SIFMA Equity Market Structure Conference Commissioner Hester Peirce   New York, NY April 18, 2018 Thank you, Randy [Snook], for your kind ...