SEC: Rulemaking

"As we were all witness to in 2008, these intermediaries might be incentivized to, essentially, bet against the performance of an asset backed security that ...

"I apologize for the proposal’s unnecessarily short comment period, which continues a troubling pattern in the face of public and Congressional concern"

"As directed by Congress, today’s re-proposed rule would prohibit so-called securitization participants—those who sell or facilitate the sale of an asset-backed security—from engaging in a ...

"Investors that participated in the securitization bubble had been misled to believe that their assets were being selected by an independent third-party. But in reality, ...

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

If you think cybersecurity is tough now, don’t worry. It’s going to get worse.

'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 ...