SEC

One such element that is widely discussed is the “maker-taker” fee structure used by the highest volume exchanges to charge access fees to brokers for ...

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 ...

Any discussion about transparency in the financial markets is sure to raise vigorous debate, and the current discussion concerning pre-trade price transparency in the bond ...

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, ...

I can report that a very diverse range of companies are using the crowdfunding exemption and that, as of July 18th, there had been over ...

While I understand that your discussion today will focus on some important discrete aspects of this proposal, I want to emphasize as well the breadth ...