Tags: Williams & Jensen

SEC Equity Market Structure Advisory Committee

SEC Equity Market Structure Advisory Committee; File No. 265 – 29

The Security Traders Association (“STA”)1 wishes to make certain recommendations regarding the duration and renewal of the SEC Equity Market Structure Advisory Committee (“EMSAC” or “Committee”).

STA believes that the EMSAC has served a very important and useful purpose in fostering constructive dialogue and issuing formal recommendations on complex market structure issues since the Committee’s inception in February 2015. As STA has previously noted2, central to the Commission’s data-driven market structure review is input from investors and all types of market participants – each of whom play important and unique roles for the efficient functioning of the markets.

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STA Conference Notes, Day 1

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SEC Open Meeting on Order Routing Disclosures – Jul 13th

At a July 13, open meeting the Securities and Exchange Commission (SEC) voted unanimously to “adopt amendments to its Rules of Practice regarding administrative proceedings” (summary agenda); “adopt amendments and guidance relating to Regulation SBSR and to establish a compliance schedule for the portions of Regulation SBSR for which the Commission has not previously established compliance dates” (Item 1); “to propose amendments to Rules 600 and 606 of Regulation NMS to require new disclosures by broker-dealers to institutional customers about the routing and execution of their orders, and to propose targeted enhancements to current order routing disclosures for retail customers” (Item 2); and “propose amendments to certain redundant, duplicative, overlapping, outdated, or superseded disclosure requirements” (Item 3).

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W&J 6/17 Washington Update

Williams & Jensen Washington Update
June 17, 2016
Selected pages related to Financial Services

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W&J 6/10 Washington Update

Williams & Jensen Washington Update
June 10, 2016
Selected pages related to Financial Services

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