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SEC Holiday Reading List: Four Rule Proposals That Would Overhaul Market Structure and How Retail Orders Are Executed

On December 14, 2022, the Securities and Exchange Commission (“SEC” or “Commission”) released four sweeping rulemaking proposals that would change market structure as we currently know it and introduce a new federal standard...more

De-Centralization and Duplication in Broker-Dealer Regulation

In April 2020, the Financial Industry Regulatory Authority and nearly all of the national securities exchanges announced they had formed a Cross-Market Regulation Working Group (CMRWG) to share information and reduce...more

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