SEC

I will simply underscore that this rulemaking holds the promise of making ATS operations more transparent to both the Commission and the public, and thus ...

While disclosure is absolutely a positive step forward, the question I am left pondering today is whether we have done enough. For example, does the ...

We strongly object to the SEC’s reported recommendation to set up a fair fund, for a number of reasons. Fair funds can play an important ...

Self-reporting also is a valuable tool for parties who want to maximize the benefits available for cooperation. As the cases I just mentioned make ...

All across the capital markets, technology and innovation are challenging the old ways of transacting business and old ways of thinking about regulation. There ...

I want to emphasize that we and the Commission carefully weigh recommending and bringing actions against CCOs. We look hard at the facts and fairness ...

The staff continues to see buyout offers relating to variable insurance contracts with generous guaranteed income benefits and death benefits that, over time, have proven ...

First, we will remain diligent in looking at various trading venues, including dark pools. Dark pools currently do not have the same disclosure obligations as ...

It is through such sharing of technology, data, and ideas, in addition to more immediate assistance in particular cases, that we can further strengthen our ...

There has also been a full reevaluation of the investor protections provided in the proposal, and those have been tightened where necessary. The recommendation, for ...