SEC

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 ...

Steve Luparello, our Director of the Division of Trading and Markets, is about to update you on some of our equity market structure work and ...

That proposal would expand the enhanced requirements to all registered clearing agencies that act as a central counterparty, a central securities depository, or a securities ...

While the proposal would shorten the current three-day (T+3) trade settlement cycle to two days (T+2), the release also asks questions about moving to a ...

I have said many times that the current state of central counterparty clearing agency (“CCP”) regulation is one of the things that keeps me awake ...

Although I believe this rule should have been stronger, and I tried to make it so, this rule is long past due. It has ...

Just a one day change will help mitigate the risks of an unnecessarily long settlement cycle that have persisted despite rapid improvements in technology.[4] ...

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 ...