One SEC commissioner is pushing for a comprehensive review of the structure and regulatory regime of United States financial markets, including SROs.
The SEC is serious about looking comprehensively at
Continue Reading SRO STATUS TO BE EXAMINED
Analysis of cutting-edge securities industry issues
One SEC commissioner is pushing for a comprehensive review of the structure and regulatory regime of United States financial markets, including SROs.
The SEC is serious about looking comprehensively at…
Continue Reading SRO STATUS TO BE EXAMINED
The United States Securities and Exchange Commission Division of Trading and Markets granted class no-action relief from securities-exchange and broker-dealer registration requirements for foreign options markets and their members that…
Continue Reading Trading and Markets Provides Relief For Option Markets’ Familiarization Activities
New competitive challenges and continued conflicts of interest require a better relationship between securities SROs and the SEC. Over the past several years, SROs have faced increased competition in the…
Continue Reading SRO REGULATION NOW NEEDED MORE THAN EVER
This past week, the House Financial Services Committee conducted hearings regarding the oversight of registered investment advisers, as well as the SEC’s recommendation of a uniform fiduciary duty standard for…
Continue Reading Yes, Investment Advisers, You Will Have Self-Regulatory Organization Oversight